Inactive

Steven Thomas Briggs

Briggs Financial Inc.

Round Lake Beach, IL

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Current Employers

Briggs Financial Inc.

Round Lake Beach, IL • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2025-09-25
MN	RA	APPROVED	2022-12-22
CA	RA	APPROVED	2022-10-06
MI	RA	APPROVED	2019-02-28
TX	RA	APPROVED_RES	2019-01-09
IL	RA	APPROVED	2018-01-02

WA RA
APPROVED

Since 2025-09-25
MN RA
APPROVED

Since 2022-12-22
CA RA
APPROVED

Since 2022-10-06
MI RA
APPROVED

Since 2019-02-28
TX RA
APPROVED_RES

Since 2019-01-09
IL RA
APPROVED

Since 2018-01-02

Branch Locations

Round Lake Beach, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wizards Of The Coast	Renton	WA	09/2014	09/2018
Waddell & Reed	Schaumburg	IL	04/2016	09/2017
Self Employed	Round Lake Beach	IL	05/2017	12/2017
Steven Thomas Briggs D/B/A Briggs Financial	Schaumburg	IL	01/2018	12/2020
Briggs Financial Inc.	Round Lake Beach	IL	01/2021	Present

09/2014 → 09/2018

Wizards Of The Coast

Renton, WA
04/2016 → 09/2017

Waddell & Reed

Schaumburg, IL
05/2017 → 12/2017

Self Employed

Round Lake Beach, IL
01/2018 → 12/2020

Steven Thomas Briggs D/B/A Briggs Financial

Schaumburg, IL
01/2021 → Present

Briggs Financial Inc.

Round Lake Beach, IL

Previous Registrations

2016-02-18 → 2017-10-27

Waddell & Reed

Elgin, IL

Savage, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-02-17

S66 Uniform Combined State Law Examination

2016-02-17

View on SEC IAPD

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