SH
Stephen A. Herrington
NOVA WEALTH MANAGEMENT
Bonita Springs, FL 34134
Some features on this profile are disabled
CRD#: 6840704
SH
Professional summary
Stephen Alexander Herrington, who also goes by Stephen Herrington, is a registered financial advisor currently at NOVA WEALTH MANAGEMENT, INC. located in Bonita Springs, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Stephen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Herrington
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.
RENTAL PROPERTY; INVESTMENT RELATED; NAPLES,FL; 50% OWNERSHIP; START DATE 05/03/2021; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Alexander Herrington's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 18, 2025 - Present
NOVA WEALTH MANAGEMENT, INC.
Office #1: 24311 Walden Center Dr Suite 200, Bonita Springs, FL 34134RIA
CRD#: 169450
Bonita Springs, FL
Past
October 17, 2017 - February 18, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
September 27, 2017 - February 18, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPLES, FL
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".
NW
NOVA WEALTH MANAGEMENT, INC.
NOVA WEALTH MANAGEMENT, INC.
CRD#: 169450 / SEC#: 801-128016
RIA
Registered Investment Advisory firm - (5/19/2023 Approved)California
Registered Investment Advisory firm - (7/21/2023 Terminated)Florida
Registered Investment Advisory firm - (6/21/2023 Terminated)Illinois
Registered Investment Advisory firm - (6/21/2023 Terminated)Minnesota
Registered Investment Advisory firm - (6/24/2023 Terminated)New York
Registered Investment Advisory firm - (6/21/2023 Terminated)Ohio
Registered Investment Advisory firm - (6/21/2023 Terminated)Texas
Registered Investment Advisory firm - (6/21/2023 Terminated)Wisconsin
Registered Investment Advisory firm - (6/21/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(2/24/2025)
IAR
Illinois(2/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NW
NOVA WEALTH MANAGEMENT, INC.
NOVA WEALTH MANAGEMENT, INC.
CRD#: 169450 / SEC#: 801-128016
RIA
Registered Investment Advisory firm - (5/19/2023 Approved)California
Registered Investment Advisory firm - (7/21/2023 Terminated)Florida
Registered Investment Advisory firm - (6/21/2023 Terminated)Illinois
Registered Investment Advisory firm - (6/21/2023 Terminated)Minnesota
Registered Investment Advisory firm - (6/24/2023 Terminated)New York
Registered Investment Advisory firm - (6/21/2023 Terminated)Ohio
Registered Investment Advisory firm - (6/21/2023 Terminated)Texas
Registered Investment Advisory firm - (6/21/2023 Terminated)Wisconsin
Registered Investment Advisory firm - (6/21/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
24311 Walden Center Dr Suite 200, Bonita Springs, FL 34134
Mailing Address
Phone number
(239) 444-1794
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 682 |
| AUM (Assets Under Management) | $ 190,976,776 |
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.
