Anthony Szefler

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT

Williamsville, NY 14221

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CRD#: 7308712

Professional summary

Anthony Szefler, CFP®, who also goes by Anthony Joseph Szefler, is a registered financial advisor currently at INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC located in Williamsville, New York and PEAK BROKERAGE SERVICES, LLC located in Williamsville, New York.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Anthony has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Joseph Szefler

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). Company Name: Independent Solutions Wealth Management, LLC; Duties of position: Advisor; Title: Registered Rep Start Date: 12/2022 Approx. # of hours per month spent: 20 Approx. # of hours spent during trading hrs: 20. 2) Peak Brokerage Services, Registered Representative. Start Date: 10/2020. Approx. # of hours per month spent: 20 Approx. # of hours spent during trading hrs: 15. 3) The Financial Guys DBA. Wealth Manager. Start Date 10/2020. Approx. # of hours per month spent: 5 Approx. # of hours spent during trading hrs: 5.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Szefler'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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

December 16, 2022 - Present

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Office #1: 305 Spindrift Drive, Williamsville, NY 14221

RIA

CRD#: 144733

Williamsville, NY

Current

November 12, 2020 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 305 Spindrift Drive, Williamsville, NY 14221

CRD#: 157045

Williamsville, NY

Past

June 22, 2021 - December 21, 2022

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Williamsville, NY

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".

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 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

California
(10/28/2024)

Florida
(10/25/2022)

Louisiana
(8/14/2024)

Massachusetts
(7/7/2021)

New York
(1/7/2021)

IAR

New York
(12/16/2022)

North Carolina
(10/25/2022)

South Carolina
(3/4/2024)

Texas
(5/22/2025)

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 65

Date: 5/6/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/12/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 9/25/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 Approved)

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Contact information

Main Address

305 Spindrift Drive, Williamsville, NY 14221

Mailing Address

Phone number

(716) 568-8566

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISWM FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,427
AUM (Assets Under Management)	$ 1,226,210,629

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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Anthony Szefler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Szefler's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

BLACKRIDGE ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2021

Series 63

Date: 1/7/2021

Series 6TO

Date: 11/12/2020

SIE

Date: 9/25/2020

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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