Stephen Schuller has 30 years of experience in the financial services industry and is a second-generation investment professional. Prior to joining Dorsey & Company, Stephen was President of his own financial services company, The Schuller Financial Group. He strongly believes in using asset allocation strategies to help clients develop an investment portfolio based on their own unique circumstances. Stephen works with clients in building laddered bond portfolios, advising on retirement and other tax-advantaged savings plans, and the placement of select types of insurance coverage. He also has a background in equity research and has received national recognition for his knowledge of micro-cap stocks.
Stephen has successfully completed SEC/FINRA/NASAA examinations to attain the following registrations:
- Series 7 Full Registration/General Securities Representative
- Series 26 Investment Company and Variable Contracts Products Principal
- Series 55 Equity Trader
- Series 63 Uniform Securities Agent State Law Examination
- Series 65 Uniform Investment Advisor Law Examination
He is a graduate of the University of New Orleans, a Certified Income Specialist, and the Founder of the Risen Son Foundation, a donor advised fund created to primarily assist smaller non-profit Christian organizations.
Stephen has also created a seminar that focuses on basic investment principles and portfolio management skills and is available to speak to your group. Please contact him directly if you are interested in pursuing this option.
Investment Advisory Process
I strive to work with clients who want to develop and implement long-term investment strategies based on their own unique goals, objectives, and tolerance for risk. In doing so, I employ the following investment advisory process in my tax-sensitive practice.
- Data Collection: At the start of the advisory process, I will help you create a personal investment profile. This profile provides a snapshot of your current financial situation, long-term goals and priorities.
- Data Review/Proposal Construction: Next I will analyze your profile data to determine the best way to construct an investment program based on your specific needs and circumstances. This review takes into account your risk tolerance, time horizon, tax sensitivity, cash-flow needs and other details. Link to Risk Assessment Questionnaire
- Review/Refine Investment Proposal: Present analysis and investment proposal to you and review and refine the proposal until we have an investment plan that you thoroughly understand and approve. Our recommendations encompass all aspects of your investment strategy including asset allocation and selection of investment vehicles.
- Implement Plan: Prepare and process appropriate paperwork, facilitate asset transfers, set up monitoring procedures and coordinate efforts with your accountant, attorney or other advisors as necessary.
- Monitor Progress: I will constantly monitor the performance of your investments and the progress being made toward your investment goals. You can expect communication from me throughout the year to provide performance updates, investor education and information about investment opportunities that you may want to consider.
- Ongoing Planning: To make sure your investments continue to keep pace with your life as it changes, I will communicate with you regularly to update and review your financial plan.