Geoffrey E. Fellows

EMBARCADERO CAPITAL ADVISORS

Laguna Hills, CA 92653

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CRD#: 6262972

Professional summary

Geoffrey Erik Fellows, who also goes by Geoff Fellows, Geoffrey E. Fellows, Geoffrey Erik Fellows, is a registered financial advisor currently at EMBARCADERO CAPITAL ADVISORS, INC. located in Laguna Hills, California.

Geoffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Geoffrey has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Geoff Fellows | Geoffrey E. Fellows | Geoffrey Erik Fellows

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. INDEPENDENT INSURANCE AGENT; INVESTMENT-RELATED; 37 TULARE DRIVE, ALISO VIEJO, CA 92656; INSURANCE; INDEPENDENT INSURANCE AGENT, START 6/1APPROX 4 HRS/MO; 4 HRS/MO (DURING TRADING HOURS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Erik Fellows'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

January 10, 2024 - Present

EMBARCADERO CAPITAL ADVISORS, INC.

Office #1: 23151 Verdugo Drive Suite 106, Laguna Hills, CA 92653

RIA

CRD#: 329285

Laguna Hills, CA

Past

June 24, 2024 - October 3, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 28, 2021 - April 1, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

May 27, 2021 - April 1, 2024

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

November 11, 2019 - June 2, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

IRVINE, CA

Past

December 12, 2017 - June 29, 2021

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

Capistrano Beach, CA

Past

December 8, 2017 - June 2, 2021

OSAIC WEALTH, INC.

CRD#: 23131

IRVINE, CA

Past

March 10, 2014 - December 7, 2017

EDWARD JONES

RIA

CRD#: 250

LAGUNA BEACH, CA

Past

December 16, 2013 - December 7, 2017

EDWARD JONES

CRD#: 250

LAGUNA BEACH, CA

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

Arizona
(8/21/2025)

IAR

California
(1/10/2024)

IAR

Nevada
(5/9/2025)

IAR

Texas
(3/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/3/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2013

General Securities Representative Examination

Current Firm

EMBARCADERO CAPITAL ADVISORS, INC.

E. | EMBARCADERO. | EMBARCADERO CAPITAL ADVISORS, INC. | EMBARCADERO CAPITAL ADVISORS

CRD#: 329285 / SEC#: 801-129306

RIA

Registered Investment Advisory firm - (8/1/2024 Terminated)

Arizona

Registered Investment Advisory firm - (8/21/2025 Approved)

California

Registered Investment Advisory firm - (7/31/2024 Approved)

Nevada

Registered Investment Advisory firm - (5/8/2025 Approved)

Texas

Registered Investment Advisory firm - (3/20/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

23151 Verdugo Drive Suite 106, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 371-9796

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 53,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Geoffrey E. Fellows

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Erik Fellows's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

NWF ADVISORY SERVICES INC

OSAIC WEALTH, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2013

Current Firm

EMBARCADERO CAPITAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMBARCADERO CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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