James Warren Steffen
Investment adviser representative at Trott Brook Financial
35 yearsExperience
1 stateRegistered in
CFP® certificationDesignation
$120.5MFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
35 years in the industry.
- Lasalle Street Securities LLCFeb 2018 to now
- Trott Brook Financial, Inc.Nov 1999 to now
- Jim Steffen, Sole ProprietorJun 1991 to now
- LPL Financial LLCDec 2002 to Feb 2018
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law1993
State registrations
Registered as an investment adviser representative in 1 state (MN).
Trott Brook Financial
Legal name: Trott Brook Financial, Inc.
$120.5MAssets managed
155Clients
1Advisers
Under 1 yearIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2342473
- Firm CRD
- 290962