SF
Stephen J. Fassel
COURIER CAPITAL
Buffalo, NY 14209-1604
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CRD#: 6002864
SF
Professional summary
Stephen John Fassel, who also goes by Stephen Fassel, is a registered financial advisor currently at COURIER CAPITAL, LLC located in Buffalo, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Stephen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Fassel
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) 6/12/2017: Specific Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/23/2017 - 80 Hours Per Month During Securities Trading. (2) 7/13/2017: Five Star Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/22/2017 - 40 Hours Per Month During Securities Trading. (3) 8/23/2019 - HNP Capital, LLC - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date: 08/01/2019 - 80 Hours Per Month/80 Hours During Securities Trading. (4) 9/23/2019 - HNP CAPITAL - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 08/01/2019 - 20 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through HNP CAPITAL, an independent investment advisor firm. I started this business activity in 08/2019. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (5) 3/22/2021 - KAFL Insurance Resources �?" Investment Related - 800 Linden Ave, Rochester, NY 14625 - Non-Variable Insurance �?" Agent �?" Started 01/20/2020 �?" 1 Hour Per Month During Securities Trading - Life Insurance and Long-Term Care.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Fassel'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
June 13, 2023 - Present
COURIER CAPITAL, LLC
Office #1: 1114 Delaware Avenue, Buffalo, NY 14209-1604RIA
CRD#: 282485
Buffalo, NY
Past
August 8, 2021 - May 9, 2023
HNP CAPITAL LLC
RIA
CRD#: 150333
ROCHESTER, NY
Past
August 3, 2021 - May 12, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEROY, NY
Past
May 31, 2017 - December 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEROY, NY
Past
February 6, 2013 - May 12, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
LEROY, NY
Past
April 23, 2012 - May 15, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
AMHERST, NY
Past
January 13, 2012 - February 6, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WILLIAMSVILLE, 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".
CC
COURIER CAPITAL, LLC
COURIER CAPITAL | MUSTARD ACQUISITION SUB, LLC | COURIER CAPITAL, LLC | COURIER CAPITAL CORPORATION
CRD#: 282485 / SEC#: 801-107119
RIA
Registered Investment Advisory firm - (1/4/2016 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(6/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
COURIER CAPITAL, LLC
COURIER CAPITAL | MUSTARD ACQUISITION SUB, LLC | COURIER CAPITAL, LLC | COURIER CAPITAL CORPORATION
CRD#: 282485 / SEC#: 801-107119
RIA
Registered Investment Advisory firm - (1/4/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1114 Delaware Avenue, Buffalo, NY 14209-1604
Mailing Address
Phone number
(716) 883-9595
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,600 |
| AUM (Assets Under Management) | $ 3,090,300,516 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COURIER CAPITAL, LLC
CRD#: 282485Buffalo, NY 14209-1604TRUST BUT VERIFY
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