Unclaimed Profile

Stephen Rocco Facella

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC·CHARLOTTE, North Carolina

SIE, Series 7, Series 24, Series 63CFP28 years registeredCAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

521 EAST MOREHEAD ST, CHARLOTTE, NC 28202CRD# 2912309Firm CRD# 131631

Profile Verification

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

Identity

Stephen Rocco Facella · CHARLOTTE, NC

Registration

CRD #2912309 · CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC · 28 years registered

Brand Profile

Not yet started

Career History

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Oct 2018 – present

KOVACK ADVISORS, INC.

Jul 2018 – Nov 2018

Fort Lauderdale, FL

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

May 2009 – Jul 2018

FORT LAUDERDALE, FL

RAYMOND JAMES FINANCIAL SERVICES

Oct 2006 – May 2009

CORAL SPRINGS, FL

A. G. EDWARDS & SONS, INC.

Aug 1997 – Jul 2006

FT. LAUDERDALE, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · August 19, 1997

Years registered · 28

Professional designation · CFP

Disclosure History

2003Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CRD 131631 · SEC 801-63969

AUM

$465M

Regulatory assets under management

Employees

860 client accounts

Services offered by CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC →

Introduction

Speak with Stephen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CHARLOTTE?

Browse all registered financial advisors in CHARLOTTE, North Carolina or claim this profile if it's yours.

Browse CHARLOTTE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Stephen Rocco Facella offer?

Stephen Rocco Facella specializes in Financial Planning, Investment Management. Contact their office in CHARLOTTE, North Carolina for a consultation.

What are Stephen Rocco Facella's credentials?

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

Where is Stephen Rocco Facella located?

Stephen Rocco Facella is based in CHARLOTTE, North Carolina, working with CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.

How does Stephen Rocco Facella charge for services?

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

How large is CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC?

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC has approximately 30 employees and manages $465M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →