Steven L. Fossel

FOSSEL CAPITAL MANAGEMENT LLC

Evergreen, CO

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CRD#: 1995812

Professional summary

Steven Lee Fossel is a registered financial advisor currently at FOSSEL CAPITAL MANAGEMENT LLC located in Evergreen, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Steven has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 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 Steven Lee Fossel's CRS (Customer Relationship Summary).

BERGER DISTRIBUTORS LLC

CRD#: 41436

DENVER, CO

Past

February 17, 1995 - March 6, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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

Colorado
(2/14/2022)

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: 3/7/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/29/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/1995

General Securities Representative Examination

Current Firm

FOSSEL CAPITAL MANAGEMENT LLC

CRD#: 131949 / SEC#:

Colorado

Registered Investment Advisory firm - (1/30/2007 Approved)

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Contact information

Main Address

Evergreen, CO

Mailing Address

Phone number

(303) 881-7696

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 33,486,000

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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Steven L. Fossel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Fossel's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOSSEL CAPITAL MANAGEMENT LLC

FOSSEL CAPITAL MANAGEMENT LLC

FOSSEL CAPITAL MANAGEMENT LLC

FOSSEL CAPITAL MANAGEMENT LLC

BERGER DISTRIBUTORS LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/7/1995

Series 65

Date: 7/29/1994

Series 7

Date: 2/16/1995

Current Firm

FOSSEL CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FOSSEL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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