James G. Steproe

CAPITOL WEALTH MANAGEMENT

Concord, NH 03301

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CRD#: 2980055

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.

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 James Gerard Steproe'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®

None

Experience

Current

May 4, 2017 - Present

CAPITOL WEALTH MANAGEMENT

Office #1: 3 North Spring St Suite 200, Concord, NH 03301

RIA

CRD#: 287875

Concord, NH

Past

May 4, 2016 - April 28, 2017

BOSTON ASSET MANAGEMENT, INC.

RIA

CRD#: 112768

CONCORD, NH

Past

June 6, 2001 - September 27, 2001

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

July 17, 1998 - June 6, 2001

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

March 7, 1998 - June 19, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

New Hampshire
(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

State Security Law Exam

IAR

Series 65

Date: 5/4/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/20/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/4/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/8/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CAPITOL WEALTH MANAGEMENT

CAPITOL WEALTH MANAGEMENT | CAPITOL WEALTH MANAGEMENT LLC

CRD#: 287875 / SEC#:

New Hampshire

Registered Investment Advisory firm - (5/4/2017 Approved)

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Contact information

Main Address

3 North Spring St Suite 200, Concord, NH 03301

Mailing Address

Phone number

(603) 715-2664

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 34,723,621

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James G. Steproe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Steproe's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOSTON ASSET MANAGEMENT, INC.

CETERA INVESTMENT SERVICES LLC

COMPULIFE INVESTOR SERVICES, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2016

Series 66

Date: 6/20/2001

Series 63

Date: 3/4/1998

Series 7

Date: 8/24/1999

Series 6

Date: 3/4/1998

Series 24

Date: 1/18/2001

Series 26

Date: 9/8/1998

Current Firm

CAPITOL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITOL WEALTH MANAGEMENT

TRUST BUT VERIFY

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