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Stephen Richard Soper

Stephen R. Soper

ORANGE INVESTMENT ADVISORS
Goshen, NY 10924
Some features on this profile are disabled
CRD#: 1349980
Stephen Richard Soper

Professional summary

Stephen Richard Soper, CFP®, CIMA® is a registered financial advisor currently at ORANGE INVESTMENT ADVISORS, INC. located in Goshen, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Stephen has worked at 14 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Stephen Richard Soper's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

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

Certified Financial Planner

Start date: 2011

CIMA®

Certified Investment Management Analyst

Experience

Current

February 3, 2026 - Present

ORANGE INVESTMENT ADVISORS, INC.

Office #1: 117 Grand Street 2nd Floor, Goshen, NY, 10924
RIA
CRD#: 107387
Goshen, NY
Past

July 2, 2024 - July 9, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEW YORK, NY
Past

July 11, 2023 - December 13, 2023

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Montgomery, NY
Past

July 11, 2023 - December 13, 2023

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Montgomery, NY
Past

February 16, 2022 - April 6, 2023

WRIGHT INVESTORS SERVICE INC

RIA
CRD#: 106302
SHELTON, CT
Past

February 15, 2022 - April 6, 2023

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
SHELTON, CT
Past

May 6, 2021 - February 9, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Sparta, NJ
Past

April 14, 2021 - February 9, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SPARTA, NJ
Past

November 10, 2016 - February 14, 2018

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
SHELTON, CT
Past

March 5, 2010 - November 13, 2014

WRIGHT INVESTORS SERVICE INC

RIA
CRD#: 106302
MILFORD, CT
Past

July 29, 2009 - June 13, 2013

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
MILFORD, CT
Past

April 11, 2008 - November 6, 2008

TD AMERITRADE, INC.

RIA
CRD#: 7870
OXNARD, CA
Past

April 11, 2008 - November 6, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OXNARD, CA
Past

April 11, 2008 - November 6, 2008

TD AMERITRADE, INC.

BD
CRD#: 7870
OXNARD, CA
Past

August 15, 2007 - December 17, 2007

BERNZOTT CAPITAL ADVISORS

RIA
CRD#: 104583
CAMARILLO, CA
Past

May 17, 2006 - June 19, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
LOS ANGELES, CA
Past

May 15, 2006 - June 19, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
LOS ANGELES, CA
Past

January 2, 2003 - January 29, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WESTLAKE, CA
Past

June 15, 2001 - January 29, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

November 29, 1990 - February 13, 1996

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
SHELTON, CT
Past

May 23, 1989 - March 7, 1990

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

March 19, 1985 - December 26, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
OI
ORANGE INVESTMENT ADVISORS, INC.
HUDSON VALLEY INVESTMENT ADVISORS INC | ORANGE INVESTMENT ADVISORS, INC. | HV CAPITAL MANAGEMENT, INC. | HUDSON VALLEY INVESTMENT ADVISORS, INC.

CRD#: 107387 / SEC#: 801-48913

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(2/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/21/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/14/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1989
General Securities Representative Examination

Current Firm

OI
ORANGE INVESTMENT ADVISORS, INC.
HUDSON VALLEY INVESTMENT ADVISORS INC | ORANGE INVESTMENT ADVISORS, INC. | HV CAPITAL MANAGEMENT, INC. | HUDSON VALLEY INVESTMENT ADVISORS, INC.

CRD#: 107387 / SEC#: 801-48913

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
117 Grand Street 2nd Floor, Goshen, NY, 10924
Mailing Address
P.o. Box 268, Goshen, NY 10924
Phone number
(845) 294-6127
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (10/14/2025)

Regulatory assets under management

Total Number of Accounts2,206
AUM (Assets Under Management)$ 1,650,937,707

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.

Company Information

ORANGE INVESTMENT ADVISORS, INC.

CRD#: 107387Goshen, NY 10924

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