Stephen S. Werner, Esq.Associate Attorney
Attorney Stephen S. Werner has worked in the financial and regulatory sectors for over 20 years. Mr. Werner has significant experience in the areas of Broker-Dealer Regulation, Investment Advisory regulation, Investment Management regulation, Insurance regulation, Tax Preparation, and Tax Representation, Bankruptcy, Estate Planning and Administration, Immigration, Business Planning and Formation, Trademark and Copyright, and other areas.
Mr. Werner serves as a FINRA Dispute Resolution Arbitrator in the Dispute Resolution Department. Mr. Werner also serves as a Credentialed Tax Expert for Intuit and TurboTax, advising customers on tax-related inquiries and the preparation and submission of their tax returns.
Previously, Mr. Werner handled these areas of law for a medium-sized law firm prior to resuming his own law practice. He also previously handled in-house legal, compliance, and regulatory matters with a Fortune 100 financial conglomerate (securities, broker-dealer, investment advisory, insurance, annuities, long-term care insurance), dealing with compliance, supervision, legal, and related areas in Pennsylvania, New York, and New Jersey. Mr. Werner has also practiced in the areas of Estate Planning, Estate Administration, Tax, Bankruptcy, Trademark and Copyright, International Business, Business Formation, and other areas.
Mr. Werner has been providing Tax Prep services and tax advice to businesses and individuals for a number of years. Mr. Werner spent 10 years in the examination, enforcement, and compliance function of the Pennsylvania Securities Commission (now the Department of Banking and Securities). Mr. Werner previously worked for an international brokerage firm handling due diligence issues, and an international bank where he handled letters of credit and other issues in the areas international trade and treasury.
Mr. Werner is admitted to practice in state courts of Pennsylvania and New Jersey, the federal U.S. Middle District and U.S. Eastern District of Pennsylvania, the U.S. Middle District Bankruptcy Court and U.S. Eastern District Bankruptcy Court, and the United States Tax Court, and has litigated cases in all of these jurisdictions. Mr. Werner is a member of the Pennsylvania Bar Association (Tax Section, Civil Litigation Section, and Federal Practice Committees), the Dauphin County Bar Association, and the Middle District Bankruptcy Bar Association.
Mr. Werner is also a member of the Greater Philadelphia Asian American Chamber of Commerce. He received a B.S. in International Finance and a B.A. in Asian Studies from Brigham Young University, a J.D. from Widener University School of Law, and an LL.M (Taxation) from Villanova University School of Law, and is licensed in Pennsylvania and New Jersey. He speaks fluent Korean and is perhaps the only fluent Korean-speaking attorney in Central Pennsylvania.
Mr. Werner is also an aviation enthusiast and holds a private pilot license. Mr. Werner has also been officiating high school boys’ sports for many years in Pennsylvania. He also loves to travel annually to South Korea where he engages in-service opportunities to the Korean people.
Mr. Werner practices in the areas of Tax (including Tax Prep), Estates, Bankruptcy, Securities and Securities Brokerage, Investment Advisory, Insurance Producer, Investment Management, Banking, Business Planning and Formation, Trademark and Copyright, and Immigration. He also has handled cases in the areas of Defamation, Divorce, Custody, and other areas.
- Registered Tax Preparer with IRS (PTIN)
- Insurance Licenses—Life, Accident, Health Producer
- Financial Industry Regulatory Authority (FINRA) Investment Adviser Representative (Series 66)
- FINRA Municipal Securities Principal (Series 53)
- FINRA General Securities—Stock Broker (Series 7)
- FINRA Securities Principal—Supervisory (Series 24)
Areas of Practice
- Business Planning and Formation
- Insurance Producer
- Investment Advisory
- Investment Management
- Securities and Securities Brokerage
- Tax (including Tax Prep)
- Trademark and Copyright
- Pennsylvania, 2013
- New Jersey, 2014
- U.S. District Court—Middle District
- U.S. District Court—Eastern District
- U.S. Tax Court
Villanova University School of Law
- LL.M, 2016, Taxation Law
Widener University School of Law, Harrisburg, PA
- J.D., 2013
- Honors: Cum Laude
- Brigham Young University, Provo, Utah
- B.A., 1989
- Major: International Business Management (Finance)
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