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Steven Schafer

Some features on this profile are disabled
CRD#: 6760225
SS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Schafer, who also goes by Steven John Schafer, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2018. Steven had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven John Schafer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 04/2023 - DODDS WEALTH, LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - Greenwood Village, CO 2) 05/04/2023 - DODDS WEALTH, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date 05/15/2023 - 160 Hours Per Month/7 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Dodds Wealth, LLC, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 15, 2023 - June 13, 2025

DODDS WEALTH, LLC

RIA
CRD#: 323632
GREENWOOD VILLAGE, CO
Past

May 1, 2023 - July 24, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
GREENWOOD VILLAGE, CO
Past

November 4, 2020 - May 22, 2023

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Denver, CO
Past

July 6, 2020 - May 22, 2023

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 6, 2018 - November 14, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DODDS WEALTH, LLC
DODDS WEALTH, LLC

CRD#: 323632 / SEC#: 801-127016

RIA
Registered Investment Advisory firm - (12/8/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/2018
General Securities Representative Examination

Current Firm

DW
DODDS WEALTH, LLC
DODDS WEALTH, LLC

CRD#: 323632 / SEC#: 801-127016

RIA
Registered Investment Advisory firm - (12/8/2022 Approved)
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Contact information

Main Address
5251 Dtc Parkway Ste 720, Greenwood Village, CO 80111
Mailing Address
Phone number
(303) 539-3900
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2A BROCHURE (2/20/2025)
WRAP BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts1,276
AUM (Assets Under Management)$ 637,995,577

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DODDS WEALTH, LLC

CRD#: 323632

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