Stephen J. Margaria

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CRD#: 6904991

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Joseph Margaria was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2018. Stephen had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2021 - August 17, 2022

SOL CAPITAL MANAGEMENT CO

RIA

CRD#: 110226

ROCKVILLE, MD

Past

December 10, 2018 - September 1, 2021

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Pitttsburgh, PA

Past

November 28, 2018 - September 20, 2021

LPL FINANCIAL LLC

CRD#: 6413

PITTSBURGH, PA

Past

October 31, 2018 - November 9, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SEVEN FIELDS, PA

Past

June 26, 2018 - November 9, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

SEVEN FIELDS, PA

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".

SOL CAPITAL MANAGEMENT CO

CRD#: 110226 / SEC#: 801-29829

RIA

Registered Investment Advisory firm - (6/19/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/27/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/1/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2018

General Securities Representative Examination

Current Firm

SOL CAPITAL MANAGEMENT CO

CRD#: 110226 / SEC#: 801-29829

RIA

Registered Investment Advisory firm - (6/19/1987 Approved)

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Contact information

Main Address

111 Rockville Pike Suite 750, Rockville, MD 20850

Mailing Address

Phone number

(301) 881-3727

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 SOL CAPITAL MANAGEMENT COMPANY BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,105
AUM (Assets Under Management)	$ 2,980,106,350

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/12/2025	Cover Page	Report
09/09/2024	Cover Page	Report
04/09/2024	Cover Page	Report
10/20/2022	Cover Page	Report

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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Firm Stability Insights

Stephen J. Margaria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL RETIREMENT PARTNERS LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SOL CAPITAL MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2018

Series 7TO

Date: 1/1/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2018

Current Firm

SOL CAPITAL MANAGEMENT CO

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SOL CAPITAL MANAGEMENT CO

TRUST BUT VERIFY

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