AV
Adam S. Vertes
OBJECTIVE CAPITAL MANAGEMENT
Pepper Pike, OH 44122
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CRD#: 2509481
AV
Professional summary
Adam Steven Vertes is a registered financial advisor currently at OBJECTIVE CAPITAL MANAGEMENT, LLC located in Pepper Pike, 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.
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.
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
CRS (Client Relationship Summary) - RIA
Click below to view Adam Steven Vertes'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®
NoneExperience
Current
November 18, 2016 - Present
OBJECTIVE CAPITAL MANAGEMENT, LLC
Office #1: 29325 Chagrin Blvd Suite 204, Pepper Pike, OH 44122RIA
CRD#: 156013
Pepper Pike, OH
Past
March 8, 2006 - November 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PEPPER PIKE, OH
Past
March 8, 2006 - November 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PEPPER PIKE, OH
Past
January 19, 2005 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
BEACHWOOD, OH
Past
January 18, 2005 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
February 8, 2001 - January 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CLEVELAND, OH
Past
January 17, 2001 - January 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
June 17, 1997 - January 5, 2001
FIFTH THIRD/MAXUS SECURITIES INC
BD
CRD#: 6790
CLEVELAND, OH
Past
May 13, 1996 - June 13, 1997
AMERICA NORTHCOAST SECURITIES, INC.
BD
CRD#: 16076
CLEVELAND, OH
Past
August 21, 1995 - April 18, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 19, 1994 - September 21, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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 - (11/21/2018 Approved)New York
Registered Investment Advisory firm - (1/15/2019 Terminated)Ohio
Registered Investment Advisory firm - (1/15/2019 Terminated)Texas
Registered Investment Advisory firm - (1/15/2019 Terminated)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
Ohio(11/18/2016)
IAR
Texas(11/21/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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 - (11/21/2018 Approved)New York
Registered Investment Advisory firm - (1/15/2019 Terminated)Ohio
Registered Investment Advisory firm - (1/15/2019 Terminated)Texas
Registered Investment Advisory firm - (1/15/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
29325 Chagrin Blvd Suite 204, Pepper Pike, OH 44122
Mailing Address
Phone number
(216) 469-1231
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 603 |
| AUM (Assets Under Management) | $ 304,740,162 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
