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Adam Steven Vertes

OBJECTIVE CAPITAL MANAGEMENT
FAIRLAWN, OH
·CRD# 2509481·32 years experience

Professional Summary

Adam Steven Vertes is a registered financial advisor currently at OBJECTIVE CAPITAL MANAGEMENT, LLC located in Fairlawn, Ohio. Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Adam has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

OBJECTIVE CAPITAL MANAGEMENT, LLC·CRD# 156013
RIA
1. 3070 W. Market St Suite 202, Fairlawn, OH 443332. 29325 Chagrin Blvd Suite 204, Pepper Pike, OH 44122
November 18, 2016 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Pepper Pike, OH
March 8, 2006 - November 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Pepper Pike, OH
March 8, 2006 - November 21, 2016
ADVEST, INC.·CRD# 10
RIA
Beachwood, OH
January 19, 2005 - March 8, 2006
ADVEST, INC.·CRD# 10
BD
Hartford, CT
January 18, 2005 - March 8, 2006
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
RIA
Cleveland, OH
February 8, 2001 - January 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
St. Petersburg, FL
January 17, 2001 - January 7, 2005
FIFTH THIRD/MAXUS SECURITIES INC·CRD# 6790
BD
Cleveland, OH
June 17, 1997 - January 5, 2001
AMERICA NORTHCOAST SECURITIES, INC.·CRD# 16076
BD
Cleveland, OH
May 13, 1996 - June 13, 1997
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
August 21, 1995 - April 18, 1996
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
July 19, 1994 - September 21, 1995

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Current Firm

OC
OBJECTIVE CAPITAL MANAGEMENT, LLC

OBJECTIVE CAPITAL MANAGEMENT | OCM PRIVATE WEALTH | OBJECTIVE CAPITAL MANAGEMENT, LLC

CRD#: 156013 / SEC#: 801-114315
RIA
Registered Investment Advisory firm - SEC (11/21/2018 Approved)
New York
Registered Investment Advisory firm - New York (1/15/2019 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (1/15/2019 Terminated)
Texas
Registered Investment Advisory firm - Texas (1/15/2019 Terminated)
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).

Contact Information

Main Address

3070 W. Market St Suite 202, Fairlawn, OH 44333

Phone Number

(216) 468-1231

# of Employees

4

SEC notice filing (9 States and Territories)

Registered to provide investment advisory services in 9 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OBJECTIVE CAPITAL MANAGEMENT, LLC ADV BROCHURE (3/23/2026)

Regulatory Assets Under Management

Total Number of Accounts

301

AUM (Assets Under Management)

$214,166,775

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1)BUSINESS OR ACTIVITY NAME - FIRST INTERSTATE PROPERTIES, LTD FOR PROFIT OR NOT FOR PROFIT - FOR-PROFIT ORGANIZATION ADDRESS OF BUSINESS - 25333 CEDAR ROADLYNDHURSTOHIO44124 INVESTMENT RELATED - NO NUMBER OF HOURS DEVOTED PER QUARTER - 1 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS - ZERO START DATE OF RELATIONSHIP - 1/1/2000 YOUR POSITION, TITLE, ASSOCIATION - FAMILY HELD 2)NATURE OF BUSINESS - FAMILY HELD LLC YOUR DUTIES - REALESTATE INVESTMENT HELD INSIDE PINETREE LLC. 2) CAMBRIDGE PLAZA COMPANY/CARRAIGE HILL APARTMENTS, P.O. BOX 44067, SAGAMORE HILLS, OH 44067 - INVESTMENT RLT'D - YES, HRS DEVOTED TO ACTIVITY - 1, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 01/01/12, POSITION - OWNER; THIS IS AN INVESTMENT IN REAL ESTATE. THE INVESTMENT PAYS DISTRIBUTIONS AND ONCE A QUARTER I REVIEW THE FINANCIAL INFORMATION PINETREE RECEIVES. 3) FOR PROFIT OR NOT FOR PROFIT: NOT FOR PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION : VERTES FAMILY PHILANTHROPIC FUND INVESTMENT RELATED: N ADDRESS OF BUSINESS: NA NATURE OF BUSINESS: OTHER POSITION, TITLE, ASSOCIATION: EXECUTOR/ADMINISTRATOR/PERSONAL REPRESENTATIVE START DATE OF RELATIONSHIP: NA NUMBER OF HOURS DEVOTED PER MONTH: NA NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 DUTIES THIS IS A FAMILY PHILANTHROPIC FUND ESTABLISHED AT THE JEWISH COMMUNITY FEDERATION FOR THE PURPOSE OF DONATING TO CHARITIES. A FAMILY MEMBER WHO WOULD LIKE TO REOCOMMEND A DONATION SUBMITS A REQUEST. ONCE A YEAR THE ACCOUNT IS FUNDED WITH $10,000 B4. ACCOUNT IS HELD AT THE JEWISH COMM. FED.5. NO AUTHORITY6. NO CHECK WRITING7. NO. I*26516 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PINETREE ROAD LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: PEPPER PIKE, OHIO 44124 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/3/2001 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: NA

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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".
OC
OBJECTIVE CAPITAL MANAGEMENT, LLC

OBJECTIVE CAPITAL MANAGEMENT | OCM PRIVATE WEALTH | OBJECTIVE CAPITAL MANAGEMENT, LLC

CRD#: 156013 / SEC#: 801-114315
RIA
Registered Investment Advisory firm - SEC (11/21/2018 Approved)
New York
Registered Investment Advisory firm - New York (1/15/2019 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (1/15/2019 Terminated)
Texas
Registered Investment Advisory firm - Texas (1/15/2019 Terminated)
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).

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.
IAR
Ohio
(11/18/2016)
IAR
Texas
(11/21/2016)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Aug 1994About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jul 1994About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Adam Steven Vertes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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