Unclaimed Profile

Craig Douglas Stepnicka

THE MOSAIC FINANCIAL GROUP, LLC·CHICAGO, Illinois

Series 7, Series 24, Series 63, Series 65Clean record31 years registeredTHE MOSAIC FINANCIAL GROUP, LLC

303 E. WACKER DRIVE, CHICAGO, IL 60601CRD# 1958154Firm CRD# 109816

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Craig Douglas Stepnicka · CHICAGO, IL

Registration

CRD #1958154 · THE MOSAIC FINANCIAL GROUP, LLC · 31 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE MOSAIC FINANCIAL GROUP, LLC

THE MOSAIC FINANCIAL GROUP, LLC

Jan 2016 – Mar 2020

CHICAGO, IL

CHELSEA ADVISORS, LLC

Aug 2004 – Dec 2015

CHICAGO, IL

JMG FINANCIAL GROUP LTD

Jan 1995 – Aug 2004

OAK BROOK, IL

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 20, 1995

Years registered · 31

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE MOSAIC FINANCIAL GROUP, LLC

CRD 109816 · SEC 801-58120

AUM

$945M

Regulatory assets under management

Employees

589 client accounts

Services offered by THE MOSAIC FINANCIAL GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE MOSAIC FINANCIAL GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Craig Douglas Stepnicka offer?

Craig Douglas Stepnicka specializes in Financial Planning, Investment Management, Wealth Management.

What are Craig Douglas Stepnicka's credentials?

Craig Douglas Stepnicka is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Craig Douglas Stepnicka located?

Craig Douglas Stepnicka is based in CHICAGO, Illinois, last registered with THE MOSAIC FINANCIAL GROUP, LLC.

How does Craig Douglas Stepnicka charge for services?

Craig Douglas Stepnicka's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE MOSAIC FINANCIAL GROUP, LLC?

THE MOSAIC FINANCIAL GROUP, LLC has approximately 23 employees and manages $945M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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