Stephan W. Wessels

VONTOBEL SWISS FINANCIAL ADVISERS

New York, NY 10001

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CRD#: 4661836

Professional summary

Stephan Winfried Wessels is a registered financial advisor currently at VONTOBEL SWISS FINANCIAL ADVISERS located in New York, New York.

Stephan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Stephan has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

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 Stephan Winfried Wessels'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

July 31, 2025 - Present

VONTOBEL SWISS FINANCIAL ADVISERS

Office #1: 66 Hudson Boulevard 34th Floor, New York, NY 10001

RIA

CRD#: 130668

New York, NY

Past

November 11, 2021 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

New York, NY

Past

August 26, 2021 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

New York, NY

Past

August 26, 2021 - May 15, 2024

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

September 25, 2003 - August 20, 2021

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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".

VONTOBEL SWISS FINANCIAL ADVISERS

UBS SWISS FINANCIAL ADVISERS | VONTOBEL SWISS FINANCIAL ADVISERS LTD. | VONTOBEL SWISS FINANCIAL ADVISERS AG | VONTOBEL SWISS FINANCIAL ADVISERS | UBS SWISS FINANCIAL ADVISERS AG

CRD#: 130668 / SEC#: 801-63660

RIA

Registered Investment Advisory firm - (12/3/2004 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

California
(7/31/2025)

IAR

Colorado
(8/1/2025)

IAR

Connecticut
(8/1/2025)

IAR

Delaware
(8/1/2025)

IAR

Illinois
(8/4/2025)

IAR

Maryland
(7/31/2025)

IAR

Michigan
(8/4/2025)

IAR

Nebraska
(7/31/2025)

IAR

Nevada
(8/1/2025)

IAR

New Jersey
(9/19/2025)

IAR

New York
(7/31/2025)

IAR

North Carolina
(8/4/2025)

IAR

North Dakota
(8/6/2025)

IAR

Pennsylvania
(8/4/2025)

IAR

South Carolina
(8/6/2025)

IAR

South Dakota
(7/31/2025)

IAR

Texas
(7/31/2025)

IAR

Virginia
(8/1/2025)

IAR

West Virginia
(7/31/2025)

IAR

Wyoming
(8/4/2025)

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 66

Date: 11/10/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2003

General Securities Representative Examination

Current Firm

VONTOBEL SWISS FINANCIAL ADVISERS

UBS SWISS FINANCIAL ADVISERS | VONTOBEL SWISS FINANCIAL ADVISERS LTD. | VONTOBEL SWISS FINANCIAL ADVISERS AG | VONTOBEL SWISS FINANCIAL ADVISERS | UBS SWISS FINANCIAL ADVISERS AG

CRD#: 130668 / SEC#: 801-63660

RIA

Registered Investment Advisory firm - (12/3/2004 Approved)

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Contact information

Main Address

Spluegenstrasse 5, Zurich 8022

Mailing Address

Gotthardstrasse 43, Zurich 8022

Phone number

+41-58-2388111

Established

Firm type

Fiscal year end

# of Employees

100

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A) (7/29/2025)

Regulatory assets under management

Total Number of Accounts	3,234
AUM (Assets Under Management)	$ 9,275,545,710

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
02/22/2024	Cover Page	Report
03/03/2023	Cover Page	Report

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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Firm Stability Insights

Stephan W. Wessels

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephan Winfried Wessels's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

VONTOBEL SWISS FINANCIAL ADVISERS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2021

Series 63

Date: 9/3/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2003

Current Firm

VONTOBEL SWISS FINANCIAL ADVISERS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VONTOBEL SWISS FINANCIAL ADVISERS

TRUST BUT VERIFY

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