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Detailed Report
STEVEN THEODORE SWINDLER
CRD#: 4840354
IA
Investment Adviser
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Previous Broker
HBKS WEALTH ADVISORSCRD#: 112139 1000 SE MONTEREY COMMONS BLVD
STE 101
STUART, FL 34996
Registration History
20062008201020122014201620182020202220242026IAHBKS WEALTH ADVISORS (CRD# 112139)2006 - Present (18 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2009 - 2020 (11 years)BSECURITIES AMERICA, INC. (CRD# 10205)2005 - 2009 (3 years)BCAP PRO BROKERAGE SERVICES, INC. (CRD# 103953)2005 - 2005 (<1 year)
License(s)

State Registrations

IA
Colorado 10/23/2023
IA
Florida 9/18/2006
Current Registration(s)
IA
HBKS WEALTH ADVISORS (CRD#:112139)
1000 SE MONTEREY COMMONS BLVD STE 101, STUART, FL 34996
Registered with this firm since 9/18/2006
Previous Registration(s)
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 01/02/2009 - 12/01/2020 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) STUART, FL
B
 09/23/2005 - 01/07/2009 SECURITIES AMERICA, INC. (CRD#:10205) STUART, FL
B
 08/10/2005 - 10/05/2005 CAP PRO BROKERAGE SERVICES, INC. (CRD#:103953) COLUMBUS, OH
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.
IA
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.