SI
Steven S. Iversen
CROSS STATE FINANCIAL GROUP LLC
ALBUQUERQUE, NM 87109
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CRD#: 820813
SI
Professional summary
Steven Scott Iversen, who also goes by Steve IVersen, is a registered financial advisor currently at CROSS STATE FINANCIAL GROUP LLC located in Albuquerque, New Mexico.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Steven has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Iversen
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) START DATE02/2022 I DEVOTE 20 HRS/MO (NONE DURING TRADING) AS INDEPENDENT CONTRACTOR/ENROLLED AGENT FOR CROSS STATE TAX & FINANCIAL, LLC/CROSS STATE TAX. THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE ASSISTING THE TAX PREPARERS ON QUESTIONS FROM CLIENTS AND PREPARING SOME TAX RETURNS. BUSINESS ADDRESS: THE SAME AS BRANCH ADDRESS. (2) START DATE 07/1993 I DEVOTE 10 HRS/MO (NONE DURING TRADING) AS INSURANCE AGENT; THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE SALES & SERVICE OF FIXED INSURANCE, LONG TERM CARE, MEDICAL, MEDICARE SUPPLEMENTS AND FINAL INSURANCE NEEDS. BUSINESS LOCATION IS THE SAME AS THE BRANCH.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Scott Iversen'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 18, 2016 - Present
CROSS STATE FINANCIAL GROUP LLC
Office #1: 6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109RIA
CRD#: 282011
ALBUQUERQUE, NM
Past
December 7, 2018 - December 31, 2020
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
ALBUQUERQUE, NM
Past
November 22, 2016 - December 7, 2017
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
ALBUQUERQUE, NM
Past
October 27, 2016 - November 1, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ALBUQUERQUE, NM
Past
January 21, 2010 - October 28, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
ALBUQUERQUE, NM
Past
January 5, 2010 - October 28, 2016
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
ALBUQUERQUE, NM
Past
January 18, 2006 - December 31, 2009
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
ALBUQUERQUE, NM
Past
December 9, 2005 - December 31, 2009
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
ALBUQUERQUE, NM
Past
May 11, 1999 - December 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ALBUQUERQUE, NM
Past
August 17, 1984 - December 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ALBUQUERQUE, NM
Past
January 20, 1984 - July 31, 1984
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
Past
April 14, 1976 - February 2, 1984
D.A. DAVIDSON & CO.
BD
CRD#: 199
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".
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
New Mexico(2/18/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/17/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109
Mailing Address
8424 S. Yukon St., Littleton, CO 80128
Phone number
(800) 621-6974
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,028 |
| AUM (Assets Under Management) | $ 166,767,480 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011Albuquerque, NM 87109TRUST BUT VERIFY
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