SL
Stephen Litman
DIVERSIFY WEALTH MANAGEMENT
Newport Beach, CA 92663
Some features on this profile are disabled
CRD#: 7605632
SL
Professional summary
Stephen Litman is a registered financial advisor currently at DIVERSIFY WEALTH MANAGEMENT, LLC located in Newport Beach, California and DFPG INVESTMENTS, LLC located in Newport Beach, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Stephen has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Chirag Shah Coaching; 5 Nancy Lane, Larchmont, NY 10538; Performance coaching for real estate agents; Real Estate Coach; My responsibilities are to assist real estate agents in growing their businesses through improved efficiencies in their workflow; 08/01/2022; 5 Hours per Week; Not during securities trading hours; Not Investment-Related. 2. LitLife LLC; 220 Toronto Ave Huntington Beach CA 92648; Helping Compass agents to organize their CRM's as well as to procure the help of a virtual assistant; CEO; Oversee marketing and customer satisfaction; 11/15/2023; 10.00hrs/week; Not during securities trading hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Litman'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 26, 2025 - Present
DIVERSIFY WEALTH MANAGEMENT, LLC
Office #1: 425 30th Street Suite 17, Newport Beach, CA 92663RIA
CRD#: 329878
Newport Beach, CA
Current
April 7, 2025 - Present
DFPG INVESTMENTS, LLC
Office #1: 425 30th Street Suite 17, Newport Beach, CA 92663BD
CRD#: 155576
Newport Beach, CA
Past
October 17, 2022 - February 27, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEWPORT BEACH, CA
Past
October 4, 2022 - February 27, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEWPORT BEACH, CA
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".
DW
DIVERSIFY WEALTH MANAGEMENT, LLC
CALIBER WEALTH MANAGEMENT, LLC | PERSPECTIVE FINANCIAL SERVICES | LJCOOPER WEALTH ADVISORS | KEY ADVISORS WEALTH MANAGEMENT | FIRSTPURPOSE WEALTH LLC | DIVERSIFY WEALTH MANAGEMENT, LLC
CRD#: 329878 / SEC#: 801-129521
RIA
Registered Investment Advisory firm - (2/16/2024 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.RR
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
IAR
California(2/26/2025)
RR
California(4/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DIVERSIFY WEALTH MANAGEMENT, LLC
CALIBER WEALTH MANAGEMENT, LLC | PERSPECTIVE FINANCIAL SERVICES | LJCOOPER WEALTH ADVISORS | KEY ADVISORS WEALTH MANAGEMENT | FIRSTPURPOSE WEALTH LLC | DIVERSIFY WEALTH MANAGEMENT, LLC
CRD#: 329878 / SEC#: 801-129521
RIA
Registered Investment Advisory firm - (2/16/2024 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9017 S Riverside Dr Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 838-9999
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,760 |
| AUM (Assets Under Management) | $ 2,526,799,821 |
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.
