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SR

Steven Rumstein

VISTIA CAPITAL

LONE TREE, CO

·CRD# 7862093·2 years experience

Professional Summary

Steven Rumstein, who also goes by Steven Elliot Rumstein, is a registered financial advisor currently at VISTIA CAPITAL, LLC located in Lone Tree, Colorado. Steven is registered as a RR (Registered Representative) and started their career in finance in 2024. Steven has worked at 2 firms and has passed the Series 63, Series 82TO and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steven Elliot Rumstein

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

2 years in the financial services industry

Current & Past Employments

VISTIA CAPITAL, LLC·CRD# 311342

BD

9380 Station Street, Suite 225, Lone Tree, CO 80124

September 18, 2026 - Present

ARETE WEALTH MANAGEMENT, LLC·CRD# 44856

BD

Jersey City, NJ

July 1, 2025 - September 2, 2026

ARETE WEALTH MANAGEMENT, LLC·CRD# 44856

BD

Chicago, IL

March 21, 2024 - March 19, 2025

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Current Firm

VC

VISTIA CAPITAL, LLC

VISTIA CAPITAL, LLC

CRD#: 311342 / SEC#: 8-70643

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

9380 Station Street, Suite 225, Lone Tree, CO 80124

Mailing Address

9380 Station Street Suite 225, Lone Tree, CO 80124

Phone Number

(720) 738-1742

Established

Delaware since 07/13/2020

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GM417 HOLDINGS, INC.	MEMBER	—
HAYES, SUSAN ANN	FINOP/PFO/POO/CFO	2856326
MOSES, GARY LEE	CEO/DESIGNATED PRINCIPAL	7074013
ROBERTS, DANIEL ANTHONY	CCO	2208120
RODRIGUEZ DE ALMEIDA, PABLO ULISES	REGISTERED PRINCIPAL	7155564

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/18/2026)

RR

Alaska
(9/18/2026)

RR

Arizona
(9/18/2026)

RR

Arkansas
(9/18/2026)

RR

California
(9/18/2026)

RR

Colorado
(9/18/2026)

RR

Connecticut
(9/18/2026)

RR

Delaware
(9/18/2026)

RR

District of Columbia
(9/18/2026)

RR

Florida
(9/18/2026)

RR

Georgia
(9/18/2026)

RR

Hawaii
(9/18/2026)

RR

Idaho
(9/18/2026)

RR

Illinois
(9/18/2026)

RR

Indiana
(9/18/2026)

RR

Iowa
(9/18/2026)

RR

Kansas
(9/18/2026)

RR

Kentucky
(9/18/2026)

RR

Louisiana
(9/18/2026)

RR

Maine
(9/18/2026)

RR

Maryland
(9/18/2026)

RR

Massachusetts
(9/18/2026)

RR

Michigan
(9/18/2026)

RR

Minnesota
(9/18/2026)

RR

Mississippi
(9/18/2026)

RR

Missouri
(9/18/2026)

RR

Montana
(9/18/2026)

RR

Nebraska
(9/18/2026)

RR

Nevada
(9/18/2026)

RR

New Hampshire
(9/18/2026)

RR

New Jersey
(9/18/2026)

RR

New Mexico
(9/18/2026)

RR

New York
(9/18/2026)

RR

North Carolina
(9/21/2026)

RR

North Dakota
(9/18/2026)

RR

Ohio
(9/21/2026)

RR

Oklahoma
(9/18/2026)

RR

Oregon
(9/18/2026)

RR

Pennsylvania
(9/18/2026)

RR

Rhode Island
(9/18/2026)

RR

South Carolina
(9/18/2026)

RR

South Dakota
(9/18/2026)

RR

Tennessee
(9/18/2026)

RR

Texas
(9/18/2026)

RR

Utah
(9/18/2026)

RR

Vermont
(9/18/2026)

RR

Virginia
(9/18/2026)

RR

Washington
(9/18/2026)

RR

West Virginia
(9/18/2026)

RR

Wisconsin
(9/18/2026)

RR

Wyoming
(9/18/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2024About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Mar 2024About the Series 82TO exam

SIE — Securities Industry Essentials Examination

Passed Jan 2024About the SIE exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Steven Rumstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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SR

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