Unclaimed Profile

Stephen Curtis Captain

TREK FINANCIAL, LLC·SCOTTSDALE, Arizona

SIE, Series 6, Series 7, Series 63, Series 65CFPClean record29 years registeredTREK FINANCIAL, LLC

8355 EAST HARTFORD DRIVE, SCOTTSDALE, AZ 85255CRD# 1637709Firm CRD# 109376

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Curtis Captain · SCOTTSDALE, AZ

Registration

CRD #1637709 · TREK FINANCIAL, LLC · 29 years registered

Brand Profile

Not yet started

Career History

TREK FINANCIAL

May 1997 – present

AXA ADVISORS, LLC

Jun 2005 – May 2015

SCOTTSDALE, AZ

MONY SECURITIES CORPORATION

Mar 2004 – Jun 2005

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · May 28, 1997

Years registered · 29

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TREK FINANCIAL, LLC

CRD 109376 · SEC 801-58087

AUM

$2.3B

Regulatory assets under management

Employees

4,584 client accounts

Services offered by TREK FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at TREK FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Stephen Curtis Captain offer?

Stephen Curtis Captain specializes in Financial Planning, Investment Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Stephen Curtis Captain's credentials?

Stephen Curtis Captain holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Stephen Curtis Captain located?

Stephen Curtis Captain is based in SCOTTSDALE, Arizona, working with TREK FINANCIAL, LLC. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.

How does Stephen Curtis Captain charge for services?

Stephen Curtis Captain's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TREK FINANCIAL, LLC?

TREK FINANCIAL, LLC has approximately 55 employees and manages $2.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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