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Stuart D. Stevens
CAPITAL CITIES INVESTMENTS
MIDDLEBURY, VT 05753
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CRD#: 5929103
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Professional summary
Stuart David Stevens is a registered financial advisor currently at CAPITAL CITIES INVESTMENTS located in Middlebury, Vermont.
Stuart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Stuart has worked at 1 firm and has passed the Series 65 exam.
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.
11/2011 - VERMONT PRECISION STONE, INC.,
4050 WILLISTON RD.,SO. BURLINGTON, VT 05403
802-651-9400,FAX 802-865-4465, VTPSTONEINC@HOTMAIL.COM. NON-INVESTMENT RELATED BUSINESS. OWNER. INSTALLATION OF STONE COUNTERTOPS. HOURS/MONTH DEVOTED TO THIS BUSINESS - 240HRS. HOURS DEVOTED DURING SECURITIES TRADING HOURS - 80.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart David Stevens'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
April 12, 2013 - Present
CAPITAL CITIES INVESTMENTS
Office #1: 63 Maple Street Suite 25, Middlebury, VT 05753RIA
CRD#: 116185
MIDDLEBURY, VT
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".
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 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
Texas(5/9/2019)
IAR
Vermont(4/12/2013)
Current Firm
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
426 East New York Street, Indianapolis, IN 46202
Mailing Address
Phone number
(317) 475-4500
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,319 |
| AUM (Assets Under Management) | $ 251,443,578 |
Red Flags
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Company Information
CAPITAL CITIES INVESTMENTS
CRD#: 116185Middlebury, VT 05753TRUST BUT VERIFY
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