Steven J. Thaler

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CRD#: 6988851

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 J Thaler was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2018. Steven had worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

December 18, 2018 - September 1, 2021

FAMILY INVESTMENT CENTER

RIA

CRD#: 113799

SAINT JOSEPH, MO

Past

September 17, 2018 - December 31, 2019

DOVE FINANCIAL COACHING

RIA

CRD#: 297978

SAVANNAH, MO

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".

FAMILY INVESTMENT CENTER

FAMILY INVESTMENT CENTER | FAMILY INVESTMENT CENTER, INC.

CRD#: 113799 / SEC#: 801-63744

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Missouri

Registered Investment Advisory firm - (1/14/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/2018

Uniform Investment Adviser Law Examination

Current Firm

FAMILY INVESTMENT CENTER

FAMILY INVESTMENT CENTER | FAMILY INVESTMENT CENTER, INC.

CRD#: 113799 / SEC#: 801-63744

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Missouri

Registered Investment Advisory firm - (1/14/2005 Terminated)

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Contact information

Main Address

3805 Beck Road, Saint Joseph, MO 64506

Mailing Address

3805 Beck Road P.o. Box 8807, St. Joseph, MO 64508-8807

Phone number

(816) 233-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE STATEMENT (10/27/2025)

Regulatory assets under management

Total Number of Accounts	2,070
AUM (Assets Under Management)	$ 595,944,398

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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Steven J. Thaler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FAMILY INVESTMENT CENTER

DOVE FINANCIAL COACHING

Primary Firm SEC Registration

FAMILY INVESTMENT CENTER

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2018

Current Firm

FAMILY INVESTMENT CENTER

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAMILY INVESTMENT CENTER

TRUST BUT VERIFY

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