James Gerard Steproe
Professional Summary
James Gerard Steproe is a registered financial advisor currently at CAPITOL WEALTH MANAGEMENT located in Concord, New Hampshire. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
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.
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
Current Firm
CAPITOL WEALTH MANAGEMENT | CAPITOL WEALTH MANAGEMENT LLC
Contact Information
Main Address
3 North Spring St Suite 200, Concord, NH 03301Phone Number
(603) 715-2664# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
90AUM (Assets Under Management)
$42,291,829Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
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.
The advisor shows no other business activity.
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
State Registrations and Notice Filings
(5/4/2017)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 1998About the Series 26 examSimilar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Gerard Steproe's CRS (Customer Relationship Summary).
Similar Advisors
LIGHTSQUARE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
WILLIAMS ASSET MANAGEMENT
LPL FINANCIAL LLC