Craig S. Lappen

TWENTY-FIRST CENTURY FINANCIAL ADVISORS

Stuart, FL 34997

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CRD#: 1726355

Professional summary

Craig Stanley Lappen, CFP® is a registered financial advisor currently at TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC located in Stuart, Florida.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Craig has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Stanley Lappen's 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®

CFP^®

Certified Financial Planner

Experience

Current

February 2, 1995 - Present

TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC

Office #1: 5071 Se Burning Tree Cir, Stuart, FL 34997

RIA

CRD#: 125690

Stuart, FL

Past

February 18, 1994 - June 6, 1994

AELTUS CAPITAL, INC

CRD#: 24928

Past

September 24, 1990 - June 6, 1994

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

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

Connecticut
(2/2/1995)

IAR

Florida
(4/12/2018)

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

IAR

Series 65

Date: 12/11/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1991

General Securities Principal Examination

Current Firm

TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC

CRD#: 125690 / SEC#: 801-69032

RIA

Registered Investment Advisory firm - (9/17/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (4/16/2012 Approved)

Florida

Registered Investment Advisory firm - (4/12/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Stuart, FL

Mailing Address

Phone number

(860) 646-2100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 65,864,248

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.

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Craig S. Lappen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Stanley Lappen's CRS (Customer Relationship Summary).

Certified licenses

Experience

TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC

AELTUS CAPITAL, INC

AETNA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/1991

Series 63

Date: 10/22/1990

Series 7

Date: 9/20/1990

Series 24

Date: 2/27/1991

Current Firm

TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC

TRUST BUT VERIFY

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