SW
Stephan W. Wessels
VONTOBEL SWISS FINANCIAL ADVISERS
New York, NY 10001
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CRD#: 4661836
SW
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.
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.
163 Beach 96th Street #4B, Rockaway Beach, NY 11693; Investment-Related; Rental Property; Title: Landlord; Hours devoted to other business outside of securities trading hours per month: 1-5; Hours devoted to other business during securities trading hours per month: 0; Duties: Landlord responsibilities
CRS (Client Relationship Summary) - RIA
Click below to view Stephan Winfried Wessels'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®
NoneExperience
Current
July 31, 2025 - Present
VONTOBEL SWISS FINANCIAL ADVISERS
Office #1: 66 Hudson Boulevard 34th Floor, New York, NY 10001RIA
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.
BD
CRD#: 7059
New York, NY
Past
August 26, 2021 - May 15, 2024
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
New York, NY
Past
September 25, 2003 - August 20, 2021
DEUTSCHE BANK SECURITIES INC.
BD
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".
VS
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
VS
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 02/22/2024 | ||
| 03/03/2023 |
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.
