Stephen M. Sliwa

STRATEGIC ADVISERS LLC

GURNEE, IL

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CRD#: 6892957

Professional summary

Stephen M. Sliwa, who also goes by Stephen M. Sliwa, Stephen Michael Sliwa, Stephen Sliwa, Steve Sliwa, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Gurnee, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Mequon, Wisconsin.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen M. Sliwa | Stephen Michael Sliwa | Stephen Sliwa | Steve Sliwa

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen M. Sliwa's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 11721 N Port Washington Rd Ste 100, Mequon, WI 53092-3419

RIA

CRD#: 104555

GURNEE, IL

Current

September 5, 2023 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 11721 N Port Washington Rd Ste 100, Mequon, WI 53092

CRD#: 7784

Mequon, WI

Past

September 8, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MEQUON, WI

Past

January 18, 2023 - August 17, 2023

MORGAN STANLEY

CRD#: 149777

Chicago, IL

Past

August 3, 2022 - August 21, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

Chicago, IL

Past

August 3, 2022 - August 18, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Chicago, IL

Past

April 12, 2022 - June 24, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Brookfield, WI

Past

April 12, 2022 - June 24, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Brookfield, WI

Past

January 25, 2022 - June 24, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

BROOKFIELD, WI

Past

January 25, 2022 - June 24, 2022

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Brrokfield, WI

Past

January 25, 2022 - June 24, 2022

TD AMERITRADE, INC.

CRD#: 7870

BROOKFIELD, WI

Past

April 13, 2018 - January 19, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTHBROOK, IL

Past

March 6, 2018 - January 19, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTHBROOK, IL

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/5/2023)

Florida
(9/5/2023)

Illinois
(9/5/2023)

IAR

Illinois
(3/31/2025)

Iowa
(10/7/2025)

Michigan
(9/5/2023)

Nevada
(5/30/2025)

New York
(11/7/2023)

North Carolina
(5/30/2025)

Tennessee
(1/4/2025)

Texas
(9/5/2023)

IAR

Texas
(3/31/2025)

Wisconsin
(9/5/2023)

IAR

Wisconsin
(3/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/12/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2018

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Sliwa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen M. Sliwa's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/12/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2018

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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