AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SV

Stephen Ventimiglia

Some features on this profile are disabled
CRD#: 1578599
SV

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Ventimiglia was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 27, 2010 - December 31, 2024

SARATOGA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 112021
AVONDALE, AZ
Past

September 27, 2004 - April 23, 2007

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

November 25, 2002 - September 27, 2004

ORBITEX FUNDS DISTRIBUTOR, INC.

BD
CRD#: 41453
STAMFORD, CT
Past

December 14, 1999 - November 22, 2002

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

June 23, 1997 - October 25, 1999

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

October 4, 1994 - May 7, 1997

OCC DISTRIBUTORS LLC

BD
CRD#: 18541
NEW YORK, NY
Past

July 16, 1994 - December 31, 2008

SARATOGA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 112021
WHITE LAKE, MI
Past

October 7, 1987 - July 15, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 23, 1986 - October 23, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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".
SC
SARATOGA CAPITAL MANAGEMENT, LLC
ORBITEX-SARATOGA CAPITAL MANAGEMENT, LLC | SARATOGA CAPITAL MANAGEMENT,LLC | SARATOGA CAPITAL MANAGEMENT, LLC | SARATOGA CAPITAL MANAGEMENT I, LLC | SARATOGA CAPITAL MANAGEMENT

CRD#: 112021 / SEC#: 801-46534

RIA
Registered Investment Advisory firm - (5/23/1994 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/2/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/13/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination

Current Firm

SC
SARATOGA CAPITAL MANAGEMENT, LLC
ORBITEX-SARATOGA CAPITAL MANAGEMENT, LLC | SARATOGA CAPITAL MANAGEMENT,LLC | SARATOGA CAPITAL MANAGEMENT, LLC | SARATOGA CAPITAL MANAGEMENT I, LLC | SARATOGA CAPITAL MANAGEMENT

CRD#: 112021 / SEC#: 801-46534

RIA
Registered Investment Advisory firm - (5/23/1994 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
12725 W Indian School Road Suite E-101, Avondale, AZ 85392
Mailing Address
Phone number
(623) 266-4567
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 149,556,125

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.

Company Information

SARATOGA CAPITAL MANAGEMENT, LLC

CRD#: 112021

TRUST BUT VERIFY

Monitor Stephen Ventimiglia

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.