Frank M. Sterneck

STERNECK CAPITAL MANAGEMENT LLC

PARK CITY, UT

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CRD#: 1171973

Professional summary

Frank Martin Sterneck is a registered financial advisor currently at STERNECK CAPITAL MANAGEMENT LLC located in Park City, Utah.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Frank has worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

GENERAL PARTNER-STERNECK CAPITAL MGMT. LP-A REG. INV. ADVISOR. SEC REGISTERED INVESTMENT ADVISOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Martin Sterneck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 7, 2009 - Present

STERNECK CAPITAL MANAGEMENT LLC

RIA

CRD#: 111463

PARK CITY, UT

Past

October 7, 1997 - December 2, 2015

WESTPORT RESOURCES MANAGEMENT INC

RIA

CRD#: 105306

KANSAS CITY, MO

Past

January 7, 1997 - October 17, 2005

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

December 20, 1996 - January 9, 1997

WSM HOLDINGS, L.L.C.

CRD#: 31352

NEW YORK, NY

Past

May 23, 1994 - August 7, 1995

WAGNER, STOTT & CO.

CRD#: 3690

NEW YORK, NY

Past

September 23, 1983 - April 17, 1989

SALOMON BROTHERS INC.

CRD#: 740

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA

Registered Investment Advisory firm - (12/20/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(12/7/2009)

IAR

Texas
(4/22/2019)

IAR

Utah
(11/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/16/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/9/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1996

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 1/31/1984

Interest Rate Options Examination

Current Firm

STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA

Registered Investment Advisory firm - (12/20/1993 Approved)

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Contact information

Main Address

1251 Nw Briarcliff Pkwy Ste 95, Kansas City, MO 64116

Mailing Address

Phone number

(816) 531-2254

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	638
AUM (Assets Under Management)	$ 277,853,450

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Frank M. Sterneck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Martin Sterneck's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPORT RESOURCES MANAGEMENT INC

SMH CAPITAL INVESTMENTS LLC

WSM HOLDINGS, L.L.C.

WAGNER, STOTT & CO.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

STERNECK CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/1997

Series 65

Date: 12/9/1996

Series 7

Date: 12/19/1996

Series 5

Date: 1/31/1984

Current Firm

STERNECK CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERNECK CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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