Business Description

Capstone Financial is an independent wealth management advisory firm specializing in the needs of affluent families, individuals and businesses. Capstone Financial provides each client with customized innovative wealth enhancement solutions utilizing traditional investment instruments and detailed asset allocation strategies. At Capstone, our daily mission is to remain objective, independent, and completely client focused. Capstone Financial places value on; identifying our clients’ investment goals, the ongoing assessment of risk, objective advice, and finally providing sound recommendations every client can depend on.

General Information

Gender:

Male

CRD#:

5254172

Firm CRD#:

150331

Insurance License#:

1098633

Name of Custodial Firm:

Scottrade

States Licensed in:

States Willing to do Business in:

NJ, PA

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Drexel University - Bachelor of Science in Business Administration with a Major in Finance

Services

Investment Types:

Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Options & Futures, FOREX & Currency, Commodities, Insurance, Annuities, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 66, Series 31, Series 7

Insurance and Annuity Licenses:

Health, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Investment Advisor:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

1.00

Minimum Fee Charged for Managed Accounts: