Stephen A. Brophy
BROPHY WEALTH MANAGEMENT
Bedford, NH 03110
Some features on this profile are disabled
CRD#: 1490789
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.
Question & Answer
What are your service offerings?
Business Succession Planning
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Estate Planning
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.
1)BROPHY WEALTH MANAGEMENT, LLC /40 SOUTH RIVER ROAD, UNIT 15/BEDFORD, NH 03110/CATEGORY: INSURANCE/INVESTMENT-RELATED: YES/TITLE: AGENT/DUTIES: OFFER ACCIDENT/HEALTH, DISABILITY, TRADITIONAL LIFE INSURANCE, LTC AND FIXED/INDEX ANNUITIES./START DATE: 9-1-2004/HOURS PER MONTH: 160 HOURS PER MONTH DURING TRADING HOURS/FEE BASED. 2)SAINT MARIE'S PARISH, 378 NOTRE DAME AVENUE, MANCHESTER, NH; CHURCH; LOCAL PARISH CHURCH -PART OF ROMAN CATHOLIC DIOCESE, CURRENT TERM AS BOARD MEMBER OVERSEEING FINANCES OF CHURCH PARISH. NO COMPENSATION. 3)SAINT MARIE'S ENDOWMENT FUND, INC./ 378 NOTRE DAME AVENUE, MANCHESTER NH 03102 603-662-4615. CREATE ENDOWMENT TO FINANCE REPAIRS/ CHARITABLE ORGANIZATION/ TREASURER / DUTIES: RAISE FUNDS/ 3 HOURS/MONTH /NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Albert Brophy's 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®
Start date: 1990
Experience
Current
December 20, 2013 - Present
BROPHY WEALTH MANAGEMENT, LLC
Office #1: 40 South River Road Bedford Place Unit 15, Bedford, NH 03110RIA
CRD#: 169894
Bedford, NH
Current
October 16, 2012 - Present
APW CAPITAL, INC.
Office #1: 40 South River Road Unit 15, Bedford, NH 03110BD
CRD#: 43814
Bedford, NH
Past
January 5, 2007 - December 31, 2013
BROPHY WEALTH MANAGEMENT, LLC
RIA
CRD#: 117393
BEDFORD, NH
Past
November 5, 2003 - December 31, 2007
OSAIC FS, INC.
RIA
CRD#: 3870
BEDFORD, NH
Past
February 2, 1998 - October 13, 2005
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
BEDFORD, NH
Past
October 7, 1994 - October 17, 2012
OSAIC FS, INC.
BD
CRD#: 3870
BEDFORD, NH
Past
April 23, 1986 - October 11, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
BW
BROPHY WEALTH MANAGEMENT, LLC
BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT
CRD#: 169894 / SEC#: 801-78964
RIA
Registered Investment Advisory firm - (12/17/2013 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/16/2012)
RR
California(10/16/2012)
RR
Connecticut(10/16/2012)
RR
Delaware(6/6/2019)
RR
Florida(10/16/2012)
RR
Georgia(10/16/2012)
RR
Illinois(10/1/2024)
RR
Louisiana(3/5/2021)
RR
Maine(10/16/2012)
RR
Maryland(9/21/2017)
RR
Massachusetts(10/16/2012)
RR
New Hampshire(10/16/2012)
IAR
New Hampshire(12/20/2013)
RR
New Mexico(10/1/2024)
RR
New York(10/16/2012)
RR
North Carolina(10/16/2012)
RR
Ohio(10/16/2012)
RR
Oregon(10/1/2024)
RR
Pennsylvania(10/16/2012)
RR
Rhode Island(10/16/2012)
RR
Tennessee(10/16/2012)
RR
Texas(10/16/2012)
IAR
Texas(12/20/2013)
RR
Vermont(10/16/2012)
RR
Virginia(10/16/2012)
RR
Wisconsin(4/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BROPHY WEALTH MANAGEMENT, LLC
BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT
CRD#: 169894 / SEC#: 801-78964
RIA
Registered Investment Advisory firm - (12/17/2013 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
40 South River Road Bedford Place Unit 15, Bedford, NH 03110
Mailing Address
Phone number
(603) 668-2303
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,177 |
| AUM (Assets Under Management) | $ 512,561,408 |
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.
