Stefan A. Fencl

LEEP ASSET MANAGEMENT

CHARLOTTE, NC 28226

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CRD#: 3106603

Professional summary

Stefan Alan Fencl is a registered financial advisor currently at LEEP ASSET MANAGEMENT, LLC located in Charlotte, North Carolina.

Stefan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Stefan has worked at 6 firms and has passed the Series 63 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 Stefan Alan Fencl'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

June 6, 2022 - Present

LEEP ASSET MANAGEMENT, LLC

Office #1: 10716 Carmel Commons Boulevard Suite 150, Charlotte, NC 28226

RIA

CRD#: 321685

CHARLOTTE, NC

Past

December 5, 2016 - September 26, 2018

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Charlotte, NC

Past

January 11, 2006 - September 7, 2011

CAPITAL ADVISORS GROUP, INC

RIA

CRD#: 112000

FORT MILL, NC

Past

April 11, 2000 - November 23, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 18, 1998 - January 25, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 18, 1998 - January 25, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

North Carolina
(6/6/2022)

IAR

South Carolina
(2/3/2023)

IAR

Texas
(6/23/2022)

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

Series 63

Date: 9/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/1998

General Securities Representative Examination

Current Firm

LEEP ASSET MANAGEMENT, LLC

CRD#: 321685 / SEC#:

North Carolina

Registered Investment Advisory firm - (6/6/2022 Approved)

South Carolina

Registered Investment Advisory firm - (2/3/2023 Approved)

Texas

Registered Investment Advisory firm - (6/21/2022 Conditional Restricted)

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Contact information

Main Address

10716 Carmel Commons Boulevard Suite 150, Charlotte, NC 28226

Mailing Address

Phone number

(980) 208-6906

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 13,800,000

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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Stefan A. Fencl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefan Alan Fencl's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEEP ASSET MANAGEMENT, LLC

FIRST CITIZENS ASSET MANAGEMENT, INC

CAPITAL ADVISORS GROUP, INC

FIDELITY BROKERAGE SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/24/1998

Series 7

Date: 9/16/1998

Current Firm

LEEP ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEEP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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