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Steven Wolken

Chief Compliance Officer at Clearstead Advisors

Investment adviser registrationCleveland, OHSEC record checked 18 October 2026

19
Years in the industry
14
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

Steven Wolken is Chief Compliance Officer of Clearstead Advisors, LLC, a Cleveland investment adviser managing $33.9B. Steven Wolken has been registered through Clearstead Advisors since 2 April 2012, has 19 years in the industry across 2 firms and has passed the Series 65.

Role at Clearstead Advisors

Title on Schedule A
Chief Compliance Officer
Control
Steven Wolken is a control person of Clearstead Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Wolken has held the filed role since October 2011.

The firm

Clearstead Advisors, LLC
Cleveland, OH

Form ADV filed 31 July 2026

$33.9B AUM4,819 clients104 advisers11 offices

Career on record

Steven Wolken has been registered through Clearstead Advisors since April 2012, and before that through Chess Financial Corp.

Firms and exams, newest first
  1. Clearstead; Clearstead Advisory SolutionsCurrent
    – present · 15 years
    Cleveland, OH · Adviser representative · Firm CRD 105674
  2. Chess Financial Corp
    – · 5 years
    Beachwood, OH · Adviser representative · Firm CRD 106225
  3. Passed Series 65 · 2007

Registrations and exams

Steven Wolken has a current investment-adviser registration in Ohio and has passed 1 qualifying exam.

Ohio2 April 2012
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6530 April 2007
Name
Uniform Investment Adviser Law Examination

Individual record

Full name
Steven Francis Wolken
CRD
5322244
Firm
Clearstead Advisors, LLC
Registration status
Investment adviser registration
Office
1100 SUPERIOR AVE EAST, SUITE 700, Cleveland, OH 44114

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Steven Wolken work?

Steven Wolken has been Chief Compliance Officer of Clearstead Advisors, LLC since October 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 July 2026

Is Steven Wolken a financial advisor?

Yes. Steven Wolken has a current investment-adviser registration in Ohio, through Clearstead Advisors since April 2012, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Steven Wolken have?

Steven Wolken has worked in the financial industry for 19 years as of 18 October 2026, counted from 2 May 2007, across 2 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has Steven Wolken passed?

Steven Wolken passed the Series 65 in April 2007.

Source: IAPD individual record, checked 18 October 2026

Where did Steven Wolken work before Clearstead Advisors?

Before Clearstead Advisors, Steven Wolken was registered through Chess Financial Corp, May 2007 to March 2012.

Source: IAPD individual record, checked 18 October 2026

Where is Steven Wolken based?

Steven Wolken’s registered office is in Cleveland, OH.

Source: IAPD individual record, checked 18 October 2026

Leadership at Clearstead Advisors

Sources

  1. IAPD individual record, CRD 5322244. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Clearstead Advisors, LLC, filed 31 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Steven Wolken or Clearstead Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.