Stephen J. Carl

HIGH PROBABILITY ADVISORS

PITTSFORD, NY 14534

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CRD#: 4161139

Professional summary

Stephen Joseph Carl is a registered financial advisor currently at HIGH PROBABILITY ADVISORS, LLC located in Pittsford, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 24 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.

CARL GROUP ENTERPRISES, LLC. NOT INVESTMENT RELATED. 110 OFFICE PARK WAY, SUITE 130, PITTSFORD, NY 14534. HOLDING COMPANY FOR OWNERSHIP OF FRANCHISE RESTAURANT STORES. BOARD CHAIRMAN. START JULY 2011. 5 HOURS/MONTH; ZERO HOURS DURING SECURITIES TRADING HOURS. DIRECTOR BOARD ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Carl'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

August 26, 2021 - Present

HIGH PROBABILITY ADVISORS, LLC

Office #1: 167 Sully's Trail Suite 300, Pittsford, NY 14534

RIA

CRD#: 289541

PITTSFORD, NY

Past

November 16, 2009 - July 22, 2014

FEDERATED SECURITIES CORP.

RIA

CRD#: 5009

ROCHESTER, NY

Past

April 15, 2009 - July 22, 2014

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

PITTSBURGH, PA

Past

February 11, 2009 - July 22, 2014

FEDERATED SECURITIES CORP.

CRD#: 5009

ROCHESTER, NY

Past

February 4, 2009 - July 22, 2014

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 106277

ROCHESTER, NY

Past

March 22, 2001 - December 31, 2005

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

CRD#: 40644

JENKINTOWN, PA

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".

HIGH PROBABILITY ADVISORS, LLC

AUXILIUM CAPITAL MANAGEMENT, LLC | HIGH PROBABILITY ADVISORS, LLC

CRD#: 289541 / SEC#: 801-111913

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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 York
(8/26/2021)

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: 6/24/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/9/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2010

General Securities Principal Examination

Current Firm

HIGH PROBABILITY ADVISORS, LLC

AUXILIUM CAPITAL MANAGEMENT, LLC | HIGH PROBABILITY ADVISORS, LLC

CRD#: 289541 / SEC#: 801-111913

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

167 Sully's Trail Suite 300, Pittsford, NY 14534

Mailing Address

Phone number

(585) 485-0135

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	695
AUM (Assets Under Management)	$ 813,429,881

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

Stephen J. Carl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Carl's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEDERATED SECURITIES CORP.

FEDERATED INVESTMENT COUNSELING

FEDERATED SECURITIES CORP.

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

Primary Firm SEC Registration

HIGH PROBABILITY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/2009

Series 65

Date: 5/9/2000

Series 7

Date: 3/21/2001

Series 24

Date: 8/18/2010

Current Firm

HIGH PROBABILITY ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGH PROBABILITY ADVISORS, LLC

TRUST BUT VERIFY

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