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Steven Geoffrey Schwanekamp

Advisors Asset Management, Inc.

Princeton, NJ

Cincinnati, OH

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-03-02
  • OH RA
    APPROVED
    Since 2023-03-02

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Cincinnati, OH • 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
OrganizationCityStateFromTo
Princeton Funds Distributor Plainsboro NJ 09/1999 01/2020
Blackrock Investments, Inc. New York NY 09/2006 01/2020
Merrill Lynch Investment Managers, Llc Plainsboro NJ 09/2006 01/2020
Unemployed Cincinnati OH 04/2020 12/2020
Alps Distributors, Inc. Denver CO 01/2021 01/2023
Flx Distributors Inc. Bernardsville NJ 01/2021 01/2023
Advisors Asset Management, Inc Monument CO 01/2023 Present
  • 09/1999 → 01/2020
    Princeton Funds Distributor
    Plainsboro, NJ
  • 09/2006 → 01/2020
    Blackrock Investments, Inc.
    New York, NY
  • 09/2006 → 01/2020
    Merrill Lynch Investment Managers, Llc
    Plainsboro, NJ
  • 04/2020 → 12/2020
    Unemployed
    Cincinnati, OH
  • 01/2021 → 01/2023
    Alps Distributors, Inc.
    Denver, CO
  • 01/2021 → 01/2023
    Flx Distributors Inc.
    Bernardsville, NJ
  • 01/2023 → Present
    Advisors Asset Management, Inc
    Monument, CO
Previous Registrations
  • 2006-09-29 → 2020-01-21
    Blackrock Investment Management, Llc
    Plainsboro, NJ
    Princeton, NJ
    Princeton, NJ
    San Francisco, CA
    Princeton, NJ
    Princeton, NJ
  • 2003-03-11 → 2006-09-29
    Merrill Lynch Investment Managers Lp
    Cincinnati, OH
    Cincinnati, OH
    Plainsboro, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-28
S63 Uniform Securities Agent State Law Examination 1995-05-08
  • S65 Uniform Investment Adviser Law Examination
    2023-02-28
  • S63 Uniform Securities Agent State Law Examination
    1995-05-08
Other Names
  • Steven G Schwanekamp

View on SEC IAPD

Other Firms

BLACKROCK INVESTMENT MANAGEMENT, LLC
SONGBIRD CAPITAL, LLC
J.P. MORGAN SECURITIES LLC
SYSTEMATIC ALPHA INVESTMENTS, LLC
PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP

Other Investors

DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

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