Steven J. Brandfield

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CRD#: 1261014

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Jay Brandfield, who also goes by Steve J Brandfield, Steven James Branfield, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve J Brandfield | Steven James Branfield

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2018 - October 3, 2020

CAPITAL BANK AND TRUST COMPANY

RIA

CRD#: 170017

New York, NY

Past

April 28, 2000 - April 26, 2010

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442

NEW YORK, NY

Past

September 9, 1998 - April 26, 2000

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

January 28, 1995 - October 3, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 13, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

December 19, 1989 - April 22, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 24, 1988 - January 1, 1990

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 20, 1986 - November 6, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 21, 1984 - February 20, 1986

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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Contact information

Main Address

6455 Irvine Center Drive, Irvine, CA 92618-4518

Mailing Address

Phone number

(949) 975-5000

Established

Firm type

Fiscal year end

# of Employees

121

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CBT ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	579
AUM (Assets Under Management)	$ 139,294,588,096

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steven J. Brandfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BESSEMER INVESTOR SERVICES, INC.

FUNDS DISTRIBUTOR, LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

PERSHING LLC

E. F. HUTTON & COMPANY INC

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL BANK AND TRUST COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2018

Series 63

Date: 5/31/1984

Series 7

Date: 5/19/1984

Current Firm

CAPITAL BANK AND TRUST COMPANY

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL BANK AND TRUST COMPANY

TRUST BUT VERIFY

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