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Detailed Report
STEPHEN CARL SCHRAMM
CRD#: 4528357
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Investment Adviser
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Previous Broker
HBKS WEALTH ADVISORSCRD#: 112139 1000 SE MONTEREY COMMONS BLVD.
#101
STUART, FL 34996
Registration History
20002002200420062008201020122014201620182020202220242026IAHBKS WEALTH ADVISORS (CRD# 112139)2003 - Present (21 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2009 - 2020 (11 years)BSECURITIES AMERICA, INC. (CRD# 10205)2005 - 2009 (3 years)IATHE SCHRAMM INVESTMENT COMPANY... (CRD# 116353)2000 - 2005 (5 years)
License(s)

State Registrations

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Colorado 10/24/2013
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North Carolina 2/21/2018
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Florida 11/12/2003
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Texas 7/2/2018
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New Jersey 11/14/2017
Current Registration(s)
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HBKS WEALTH ADVISORS (CRD#:112139)
1000 SE MONTEREY COMMONS BLVD. #101, STUART, FL 34996
Registered with this firm since 10/28/2003
Previous Registration(s)
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 01/02/2009 - 12/01/2020 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) STUART, FL
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 10/17/2005 - 01/07/2009 SECURITIES AMERICA, INC. (CRD#:10205) STUART, FL
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 01/18/2000 - 12/31/2005 THE SCHRAMM INVESTMENT COMPANY, L.L.C. (CRD#:116353) STUART, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.