Stephen Albert Brophy
CFP®Professional Summary
Stephen Albert Brophy, CFP® is a registered financial advisor currently at BROPHY WEALTH MANAGEMENT, LLC located in Bedford, New Hampshire and APW CAPITAL, INC. located in Bedford, New Hampshire. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Business Succession Planning
- Comprehensive Financial Planning
- Insurance Planning
- Investment Planning
- Estate Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT
Contact Information
Main Address
40 South River Road Bedford Place Unit 15, Bedford, NH 03110Phone Number
(603) 668-2303# of Employees
11SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,205AUM (Assets Under Management)
$532,526,394Similar Advisors
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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.
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Primary Firm SEC Registration
BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT
State Registrations and Notice Filings
(10/16/2012)
(10/16/2012)
(10/16/2012)
(6/6/2019)
(10/16/2012)
(10/16/2012)
(10/1/2024)
(10/16/2012)
(9/21/2017)
(10/16/2012)
(10/16/2012)
(12/20/2013)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(10/1/2024)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(12/20/2013)
(10/16/2012)
(10/16/2012)
(4/26/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Albert Brophy's CRS (Customer Relationship Summary).
Services Offered by Stephen
- Business Succession Planning
- Comprehensive Financial Planning
- Insurance Planning
- Investment Planning
- Estate Planning
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