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AS

Adam T. Stempel

VEGA CAPITAL PARTNERS
NEW YORK, NY
Some features on this profile are disabled
CRD#: 4823536
AS

Professional summary

Adam Todd Stempel, who also goes by Adam Stempel, is a registered financial advisor currently at VEGA CAPITAL PARTNERS LLC located in New York, New York.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Adam has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Adam Stempel

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 Adam Todd Stempel'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

November 5, 2025 - Present

VEGA CAPITAL PARTNERS LLC

RIA
CRD#: 338416
NEW YORK, NY
Past

December 8, 2010 - August 27, 2025

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
New York, NY
Past

February 29, 2008 - March 20, 2009

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 24, 2007 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
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".
VC
VEGA CAPITAL PARTNERS LLC
VEGA CAPITAL PARTNERS LLC

CRD#: 338416 / SEC#: 801-134415

RIA
Registered Investment Advisory firm - (9/24/2025 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
(11/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/5/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2007
General Securities Representative Examination

Current Firm

VC
VEGA CAPITAL PARTNERS LLC
VEGA CAPITAL PARTNERS LLC

CRD#: 338416 / SEC#: 801-134415

RIA
Registered Investment Advisory firm - (9/24/2025 Approved)
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Contact information

Main Address
New York, NY
Mailing Address
Phone number
(480) 861-1282
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 100,000

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.

Company Information

VEGA CAPITAL PARTNERS LLC

CRD#: 338416New York, NY

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