SM
Steven F. Minninger
WILLIAM JOSEPH CAPITAL MANAGEMENT
Newport, RI 02840
Some features on this profile are disabled
CRD#: 5288131
SM
Professional summary
Steven F Minninger JR., CFP®, who also goes by Steven F Minninger, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Newport, Rhode Island.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Steven has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven F Minninger
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.
1). Menninger Financial Services, LLC, dba Waypoint Wealth Planning and Investment Advisors. Owner, Iinvestment related. Insurance sales, started 2010. 10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Steven F Minninger JR.'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®
Experience
Current
October 27, 2022 - Present
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
Office #1: 174 Bellevue Avenue Ste 211, Newport, RI 02840RIA
CRD#: 226535
Newport, RI
Past
January 21, 2022 - April 19, 2023
ETICO PARTNERS, LLC
BD
CRD#: 122481
Stamford, CT
Past
April 9, 2020 - January 20, 2022
D. BORAL CAPITAL
BD
CRD#: 103792
Stamford, CT
Past
August 7, 2018 - October 25, 2022
ETICO WEALTH MANAGEMENT LLC
RIA
CRD#: 151046
Stamford, CT
Past
August 7, 2018 - April 13, 2020
ETICO PARTNERS, LLC
BD
CRD#: 122481
Stamford, CT
Past
March 26, 2010 - August 6, 2018
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
STAMFORD, CT
Past
March 26, 2010 - August 6, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
STAMFORD, CT
Past
May 8, 2007 - March 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTPORT, CT
Past
April 20, 2007 - March 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTPORT, CT
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".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)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
Connecticut(10/27/2022)
IAR
Rhode Island(10/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
CRD#: 226535 / SEC#: 801-119964
RIA
Registered Investment Advisory firm - (12/11/2020 Approved)Connecticut
Registered Investment Advisory firm - (12/6/2021 Terminated)Florida
Registered Investment Advisory firm - (10/29/2021 Terminated)Georgia
Registered Investment Advisory firm - (12/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (11/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/29/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
210 Red Stone Hill Road Suite 5, Bristol, CT 06010
Mailing Address
200 West Hartford Street #u, Milford, PA 18337
Phone number
(860) 973-3214
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 465,072,406 |
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
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
CRD#: 226535Newport, RI 02840TRUST BUT VERIFY
Monitor Steven Minninger
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
