Adam Vertes has been an investment adviser representative at Objective Capital Management since November 2016, and is not listed among the firm’s executive officers or direct owners.
Objective Capital Management, LLC is a Fairlawn, OH firm with $214M under management, 115 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Adam Vertes works at Objective Capital Management (OCM), based in Cleveland. He started his career in 1994 at Dean Witter Reynolds and spent 10 years at Merrill Lynch before joining OCM. He has 30+ years of experience in portfolio management.
Adam Vertes’ longest registration was 10 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2006–2016). Before joining Objective Capital Management in 2016, Adam Vertes was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Advest, Inc.
- – present · 9 yearsAdviser representative · Firm CRD 156013
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 10 yearsPepper Pike, OH · Adviser representative · Firm CRD 7691
- Advest, Inc.– · 1 yearBeachwood, OH · Adviser representative · Firm CRD 10
- Raymond James & Associates, Inc.– · 3 yearsCleveland, OH · Adviser representative · Firm CRD 705
Investment adviser representative registrations
Adam Vertes is registered as an investment adviser representative in 2 states. Each was approved in November 2016.
- OhioSince 18 November 2016
- TexasSince 21 November 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 14 March 2007 |
| Series 31 | Futures Managed Funds Examination | 25 August 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 July 1994 |
| Series 7 | General Securities Representative Examination | 18 July 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Adam Steven Vertes
- CRD
- 2509481
- Firm
- Objective Capital Management · CRD 156013
- Registration
- Investment adviser registration
- In the industry since
- September 1994
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ocmwealth.com
Where does Adam Vertes work?
Adam Vertes is an investment adviser representative registered through Objective Capital Management, LLC since November 2016, and is not listed among the firm’s executive officers or direct owners.
Is Adam Vertes a financial advisor?
Yes. Adam Vertes has a current investment-adviser registration in Ohio and Texas, through Objective Capital Management since November 2016.
How many years of experience does Adam Vertes have?
Adam Vertes has 32 years in the financial industry, since September 1994, across 4 adviser firms.
What exams has Adam Vertes passed?
Adam Vertes has passed 4 licensing exams: the Series 7, Series 63, Series 31 and Series 66. The earliest, the Series 7, was passed in July 1994. FINRA credited Adam Vertes with the SIE, which began in October 2018.
Where did Adam Vertes work before Objective Capital Management?
Before Objective Capital Management, Adam Vertes was registered through Advest, Inc., January 2005 to March 2006; Raymond James & Associates, Inc., February 2001 to January 2005.
Is Adam Vertes registered with FINRA?
No. Adam Vertes has no current broker registration.
How can I verify Adam Vertes’ record?
Search CRD 2509481 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Adam Vertes’ full registration record.
