Jacob C. Rich

CAPSTONE WEALTH ADVISORS

Indianpolis, IN 46250

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CRD#: 6837023

Professional summary

Jacob Christopher Rich, CFP®, who also goes by Jacob Rich, is a registered financial advisor currently at CAPSTONE WEALTH ADVISORS,INC. located in Indianpolis, Indiana.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jacob has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jacob Rich

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Christopher Rich'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

January 7, 2020 - Present

CAPSTONE WEALTH ADVISORS,INC.

Office #1: 5875 Castle Creek Parkway Suite 290, Indianpolis, IN 46250

RIA

CRD#: 122357

Indianpolis, IN

Past

October 27, 2017 - January 7, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

INDIANAPOLIS, IN

Past

September 20, 2017 - January 7, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

INDIANAPOLIS, IN

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

Indiana
(1/7/2020)

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: 10/26/2017

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: 9/20/2017

General Securities Representative Examination

Current Firm

CAPSTONE WEALTH ADVISORS,INC.

CAPSTONE WEALTH ADVISORS, LLC | CAPSTONE WEALTH ADVISORS,INC.

CRD#: 122357 / SEC#: 801-68449

RIA

Registered Investment Advisory firm - (6/26/2012 Terminated)

Indiana

Registered Investment Advisory firm - (5/3/2012 Approved)

Louisiana

Registered Investment Advisory firm - (12/18/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2023 Terminated)

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

5875 Castle Creek Parkway Suite 290, Indianpolis, IN 46250

Mailing Address

Phone number

(317) 577-8233

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	306
AUM (Assets Under Management)	$ 100,214,277

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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Jacob C. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Christopher Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPSTONE WEALTH ADVISORS,INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2017

Current Firm

CAPSTONE WEALTH ADVISORS,INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPSTONE WEALTH ADVISORS,INC.

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