Stephen John Fassel

Current Employers

Employment History

• 02/2013 → Present
  Lpl Financial Llc
  Medina, NY
• 05/2012 → 09/2016
  First Niagara Bank
  Amherst, NY
• 09/2016 → 05/2017
  Northwest Bank
  Amherst, NY
• 05/2017 → Present
  Five Star Bank
  Medina, NY
• 08/2019 → Present
  Hnp Capital Llc
  Medina, NY

Previous Registrations

• 2017-05-31 → 2023-05-12
  Lpl Financial Llc
  Amherst, NY
  Amherst, NY
  Amherst, NY
  Medina, NY
  Williamsville, NY
  Batavia, NY
  Albion, NY
  Lakewood, NY
  Leroy, NY
  East Aurora, NY
  Batavia, NY
  Orchard Park, NY
  Buffalo, NY
  Yorkshire, NY
  Strykersville, NY
  Strykersville, NY
  Lakewood, NY
  Allegany, NY
  Cuba, NY
  Salamanca, NY
  Rochester, NY
  Yorkshire, NY
• 2021-08-08 → 2023-05-09
  Hnp Capital Llc
  Rochester, NY

Other Businesses

(1) 6/12/2017: Specific Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/23/2017 - 80 Hours Per Month During Securities Trading. (2) 7/13/2017: Five Star Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/22/2017 - 40 Hours Per Month During Securities Trading. (3) 8/23/2019 - HNP Capital, LLC - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date: 08/01/2019 - 80 Hours Per Month/80 Hours During Securities Trading. (4) 9/23/2019 - HNP CAPITAL - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 08/01/2019 - 20 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through HNP CAPITAL, an independent investment advisor firm. I started this business activity in 08/2019. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (5) 3/22/2021 - KAFL Insurance Resources â?" Investment Related - 800 Linden Ave, Rochester, NY 14625 - Non-Variable Insurance â?" Agent â?" Started 01/20/2020 â?" 1 Hour Per Month During Securities Trading - Life Insurance and Long-Term Care.

Exams

• S66 Uniform Combined State Law Examination
  2015-08-13
• S63 Uniform Securities Agent State Law Examination
  2012-01-13

Other Names

• Stephen Fassel