Steven M. Sprovach

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CRD#: 734203

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 Martin Sprovach, CFP® was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.

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.

INSURANCE AGENT, 7890 KEMPER RD CINCINNATI, OH 45249, OWNER, START DATE: 8/1989, 5%-10% OF TIME MAX, FACT FIND; DISCOVER NEEDS; PRESENT PRODUCTS.

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®

CFP^®

Certified Financial Planner

Experience

Past

August 27, 2018 - January 9, 2024

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Cincinnati, OH

Past

August 21, 2002 - February 23, 2005

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CINCINNATI, OH

Past

January 1, 2000 - February 7, 2019

SIMPLY MONEY ADVISORS

RIA

CRD#: 106619

CINCINNATI, OH

Past

August 29, 1994 - November 21, 2013

OSAIC WEALTH, INC.

CRD#: 23131

CINCINNATI, OH

Past

August 22, 1994 - September 15, 1994

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 8, 1994 - August 19, 1994

WESTFIELD FINANCIAL CORPORATION

CRD#: 8143

NEW YORK, NY

Past

May 24, 1988 - September 15, 1994

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

February 2, 1987 - May 31, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

July 20, 1981 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 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: 5/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/1/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/1993

General Securities Principal Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	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

Steven M. Sprovach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

SIMPLY MONEY ADVISORS

OSAIC WEALTH, INC.

H.J. MEYERS & CO., INC.

WESTFIELD FINANCIAL CORPORATION

HIBBARD BROWN & CO., INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/1999

Series 63

Date: 6/5/1984

Series 7

Date: 7/18/1981

Series 53

Date: 6/1/2004

Series 24

Date: 11/9/1993

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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