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RIA / WealthAdvisor21 years in industry

STEVEN CLARKE TREFTZ

Advisor at SEI INVESTMENTS MANAGEMENT CORP

OAKS, PA

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Search this name across graphsid dfx:ria:39a3892d-bd83-1687-da96-61d56018e00c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SEI INVESTMENTS MANAGEMENT CORP
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 14, 2005
First registration: Jun 15, 2005
Dual registered: no
Other names: STEVEN CLARKE TREFTZ
IAPD individual key: 4902656

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SEI INVESTMENTS MANAGEMENT CORP	Mixed wealth	May 14, 2012	n/a	yes	OAKS, PA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 8, 2010	May 23, 2012	no	NEW YORK, NY\|WILMINGTON, DE\|NEW YORK, NY\|WILMINGTON, DE	Previous registration
LOCKWOOD FINANCIAL SERVICES, INC.	n/a	Jul 19, 2006	Jul 20, 2006	no	MALVERN, PA	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Jun 15, 2005	May 21, 2010	no	MALVERN, PA\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	SEI INVESTMENTS MANAGEMENT CORP	May 23, 2012	May 14, 2012	-9	Firm change	Other
BNY MELLON ADVISORS, INC.	LOCKWOOD FINANCIAL SERVICES, INC.	May 21, 2010	Jul 19, 2006	-1,402	Firm change after gap	Other
LOCKWOOD FINANCIAL SERVICES, INC.	CITIGROUP GLOBAL MARKETS INC.	Jul 20, 2006	Dec 8, 2010	1,602	Firm change after gap	Other

Relationships

Registered with (4)

→ SEI INVESTMENTS MANAGEMENT CORPRegistered adviserregistration: current employment
May 14, 2012 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 8, 2010 to May 23, 2012factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
Jun 15, 2005 to May 21, 2010factForm ADV
→ LOCKWOOD FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 19, 2006 to Jul 20, 2006factForm ADV

Dated events

No dated event names this entity yet.