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SP

Stephen T. Palmer

PENNSYLVANIA CAPITAL MANAGEMENT
Huntingdon Valley, PA 19006
Some features on this profile are disabled
CRD#: 5104188
SP

Professional summary

Stephen Thomas Palmer III, who also goes by Steve Palmer, is a registered financial advisor currently at PENNSYLVANIA CAPITAL MANAGEMENT INC. located in Huntingdon Valley, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Stephen has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steve Palmer

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 Stephen Thomas Palmer III'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

May 1, 2006 - Present

PENNSYLVANIA CAPITAL MANAGEMENT INC.

Office #1: 1841 Huntingdon Pike, Huntingdon Valley, PA 19006
RIA
CRD#: 107648
Huntingdon Valley, 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".
PC
PENNSYLVANIA CAPITAL MANAGEMENT INC.
PENNSYLVANIA CAPITAL MANAGEMENT INC.

CRD#: 107648 / SEC#: 801-50732

RIA
Registered Investment Advisory firm - (12/4/1995 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
Florida
(5/26/2020)
IAR
Pennsylvania
(5/1/2006)
IAR
Texas
(12/8/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/8/2006
Uniform Investment Adviser Law Examination

Current Firm

PC
PENNSYLVANIA CAPITAL MANAGEMENT INC.
PENNSYLVANIA CAPITAL MANAGEMENT INC.

CRD#: 107648 / SEC#: 801-50732

RIA
Registered Investment Advisory firm - (12/4/1995 Approved)
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Contact information

Main Address
1841 Huntingdon Pike, Huntingdon Valley, PA 19006
Mailing Address
Phone number
(215) 881-7700
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts1,033
AUM (Assets Under Management)$ 759,036,635

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

PENNSYLVANIA CAPITAL MANAGEMENT INC.

CRD#: 107648Huntingdon Valley, PA 19006

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