SF
SF

Stephen John Fassel

12 Years of Experience
Sells Insurance
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
2,218 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$3.1B

Fee Structure

Minimum Investment:$500K
Financial Planning:Included in AUM fee
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Location

1114 Delaware Avenue, Buffalo, NY, 14209-1604

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Stephen is an agent for non-variable insurance through Specific Solutions and KAFL Insurance Resources, including life insurance and long-term care, and dedicates about half his time to this. He also provides investment advisory services through HNP Capital, LLC, and operates under the DBAs Five Star Investment Services and HNP Capital, dedicating about 10-20% of his time to this.

Employment History
Current Registrations
Courier Capital, LLC
June 2023 - Present · 2 yrs 8 mos
Previous Registrations
Hnp Capital LLC
August 2021 - May 2023 · 1 yr 9 mos
LPL Financial LLC
August 2021 - May 2023 · 1 yr 9 mos
LPL Financial LLC
May 2017 - December 2019 · 2 yrs 7 mos
LPL Financial LLCBroker
February 2013 - May 2023 · 10 yrs 3 mos
Hsbc Securities (USA) INC.Broker
April 2012 - May 2012 · 1 mo
MML Investors Services, LLCBroker
January 2012 - February 2012 · 1 mo
State Registrations1 state
NY
Advisor
Exams
No exam information available for this advisor.