Shain Andru Steffens

Employer firm

Steffens Financial Corp CRD 342546

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• EXPERT WITNESS / EXPERT CONSULTANT

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2014 → Present
  Commonwealth Financial Network
  Waltham, MA
• 06/2014 → Present
  Steffens Financial Corp.
  Byram Township, NJ
• 07/2026 → Present
  Steffens Financial Corp
  Byram Township, NJ

Previous Registrations

• 2010-12-07 → 2014-07-11
  Msi Financial Services, Inc.
  Freehold, NJ
  Montclair, NJ
  Byram Township, NJ
  Elmwood Park, NJ
• 2009-06-01 → 2010-12-17
  Morgan Stanley
  Fairfield, NJ
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Fairfield, NJ
• 2005-09-07 → 2007-04-02
  Morgan Stanley Dw Inc.
  Fairfield, NJ
  Rockaway, NJ
  Rockaway, NJ

Other Businesses

1. Caregiver; as of 06/03/2014, 0% of time spent during business hours, not conducted at branch; not investment related; 2. Fixed insurance sales; as of 06/24/2014, investment related; conducted at branch 3. 276 Route 206, LLC; owner; real estate holding company; as of 07/01/2014, 0% of time spent during business hours, conducted at branch; not investment related. 4. Steffens & Steffens, LLC, entity established to facilitate securities and fixed insurance business. Member and 50% owner, as of 06/12/2014, 100% of time spent during business hours, Investment related, at branch location. 5. Owner of rental property located in Lafayette, NJ; as of 06/03/2017; approximately 0% time spent during securities trading hours per month; not conducted at branch location; investment related. 6. Expert Witness, Located in Columbia, NJ, as of 05/10/2023; Approximately 1% of time spent during business hours; Not Conducted at branch location; Not Investment related. 7. Co-owner, Steffens Financial Corp., a private entity established to facilitate securities, advisory, and insurance business; Located at 276 US-206 Suite A, Byram Township, NJ 07821, as of 06/24/2024; 100% of time spent during business hours; Conducted at branch; Investment related. 8. Co-owner, 263 Route 206 Real Estate, LLC; an entity created for the purpose of owning real estate at 263 Route 206, Byram Township, NJ 07874, as of 5/13/2024; 2% time spent during business hours; Conducted at branch; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2005-09-06

Other Names

• Shain Steffens