Adam S. Vertes

OBJECTIVE CAPITAL MANAGEMENT

Pepper Pike, OH 44122

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CRD#: 2509481

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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®

None

Experience

Current

November 18, 2016 - Present

OBJECTIVE CAPITAL MANAGEMENT, LLC

Office #1: 29325 Chagrin Blvd Suite 204, Pepper Pike, OH 44122

RIA

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

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.

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.

CRD#: 705

ST. PETERSBURG, FL

Past

June 17, 1997 - January 5, 2001

FIFTH THIRD/MAXUS SECURITIES INC

CRD#: 6790

CLEVELAND, OH

Past

May 13, 1996 - June 13, 1997

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

CLEVELAND, OH

Past

August 21, 1995 - April 18, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 19, 1994 - September 21, 1995

MORGAN STANLEY DW INC.

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".

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)

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.

Highlighted states indicate IAR registrations

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

State Security Law Exam

IAR

Series 66

Date: 3/14/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/25/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/18/1994

General Securities Representative Examination

Current Firm

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)

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Contact information

Main Address

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

Mailing Address

Phone number

(216) 468-1231

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OBJECTIVE CAPITAL MANAGEMENT, LLC ADV BROCHURE (12/18/2025)

Regulatory assets under management

Total Number of Accounts	603
AUM (Assets Under Management)	$ 304,740,162

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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Advisor Monitoring

Firm Stability Insights

Adam S. Vertes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

ADVEST, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

FIFTH THIRD/MAXUS SECURITIES INC

AMERICA NORTHCOAST SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

OBJECTIVE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2007

Series 63

Date: 7/22/1994

SIE

Date: 11/21/2016

Series 31

Date: 8/25/1994

Series 7

Date: 7/18/1994

Current Firm

OBJECTIVE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OBJECTIVE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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