SG
Sean M. Gelston
VII CAPITAL MANAGEMENT LLC
Stamford, CT 06902
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CRD#: 6740028
SG
Professional summary
Sean M Gelston is a registered financial advisor currently at VII CAPITAL MANAGEMENT LLC located in Stamford, Connecticut.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Sean has worked at 1 firm .
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sean M Gelston'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
March 17, 2017 - Present
VII CAPITAL MANAGEMENT LLC
Office #1: 700 Canal Street, Stamford, CT 06902RIA
CRD#: 286371
Stamford, CT
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(3/17/2017)
IAR
Florida(10/17/2018)
IAR
New York(11/11/2021)
Exams
Current Firm
VC
VII CAPITAL MANAGEMENT LLC
VICTORI CAPITAL | VII CAPITAL MANAGEMENT LLC | VICTORI CAPITAL, LLC | VICTORI CAPITAL LLC
CRD#: 286371 / SEC#: 802-108888
Connecticut
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (10/17/2018 Approved)New York
Registered Investment Advisory firm - (3/17/2017 Approved)Texas
Registered Investment Advisory firm - (4/12/2024 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
700 Canal Street, Stamford, CT 06902
Mailing Address
Phone number
(203) 890-9565
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 33,956,432 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 1/6/2017 |
| Connecticut | ERA - Withdrawn | 1/6/2017 |
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.
