Stephen Frederick Schwaderer
Professional Summary
Stephen Frederick Schwaderer was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1999 - 2023. Stephen had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
Contact Information
Main Address
One Orange Way, Windsor, CT 06095Phone Number
(860) 580-2817Established
New Jersey since 02/01/2000Firm Type
Limited Liability CompanyFiscal Year End
December# of Employees
121SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
7,672AUM (Assets Under Management)
$37,473,256,343Disclosures
Regulatory Event
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/15/2026 | Cover Page | Report |
| 10/18/2024 | Cover Page | Report |
| 01/26/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1999About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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