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SB

Stephen J. Bachmann

CURTIS POINT CAPITAL
Weston, MA 02493
Some features on this profile are disabled
CRD#: 2634507
SB

Professional summary

Stephen Jon Bachmann, who also goes by Stephan Jon Bachmann, is a registered financial professional currently at CURTIS POINT CAPITAL located in Weston, Massachusetts.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephan Jon Bachmann

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) - BD

Click below to view Stephen Jon Bachmann'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

April 21, 2024 - Present

CURTIS POINT CAPITAL

Office #1: 6 Driftwood Lane, Weston, MA 02493
BD
CRD#: 307399
Weston, MA
Past

September 25, 2014 - May 14, 2024

ATLAS TECHNOLOGY GROUP LLC

BD
CRD#: 152828
MENLO PARK, CA
Past

December 18, 2012 - March 31, 2014

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

June 7, 2011 - August 9, 2012

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN FRANCISCO, CA
Past

November 16, 1995 - May 27, 1999

BROADVIEW INTERNATIONAL LLC

BD
CRD#: 27265
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 6/6/2011
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CURTIS POINT CAPITAL
CURTIS POINT CAPITAL | CURTIS POINT CAPITAL, LLC

CRD#: 307399 / SEC#: , 8-70494

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
6 Driftwood Lane, Weston, MA 02493
Mailing Address
6 Driftwood, Weston, MA 02493
Phone number
(631) 721-3541
Established
Delaware since 01/09/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CURTIS POINT HOLDINGS, LLCDIRECT OWNER
PERCH BAY GROUP, LLCDIRECT OWNER
DORFMAN, ESTEE CARLAFINOP2696529
VAN OGTROP, ANDREW BERNARDMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER2921520

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.

Company Information

CURTIS POINT CAPITAL

CRD#: 307399Weston, MA 02493

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