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Stephen Curtis Captain

Trek Financial

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About Stephen Curtis Captain

Stephen Captain is a financial advisor with Trek Financial in Scottsdale, Arizona. Stephen has been in the industry for over 30 years, and has extensive experience providing financial planning and wealth management services. Stephen is a Certified Financial Planner and holds the Series 6, 7, 63, and 65 licenses. Stephen has also worked with World Equity Group, Inc., and AXA Advisors, LLC.

Firm Information

Stephen Captain is currently registered with Trek Financial. Trek Financial, headquartered in Scottsdale, Arizona, is an independent financial advisory firm serving a diverse clientele, including individuals, families, businesses, non-profits, and retirement plans. With over 51 licensed agents and 3 investment advisor representatives, Trek Financial provides a comprehensive range of financial services, including financial planning, pension consulting, portfolio management, educational seminars, and selection of other advisors. The firm manages over $2.2 billion in assets for its clients, and has a strong focus on providing personalized financial guidance and wealth management solutions.
Trek Financial

8355 EAST HARTFORD DRIVE

SCOTTSDALE, AZ 85255

$2.26B

Assets Under Management

Not reported

Total Clients

62

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting

Consulting

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Captain’s Registration & Firm History

AZ

01/01/2002 - Present

Trek Financial (SCOTTSDALE AZ)

AZ

05/29/2015 - 05/31/2019

WORLD EQUITY GROUP, INC. (Scottsdale AZ)

AZ

06/01/2005 - 05/20/2015

AXA ADVISORS, LLC (SCOTTSDALE AZ)

NY

04/15/1987 - 06/01/2005

MONY SECURITIES CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/28/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/17/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/26/1990

Series 7 - General Securities Representative Examination

BC

Issued 04/13/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Stephen Curtis Captain.
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