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Richard Brodhead Stebbins

CRD# 1813723·Registered 1988 - 2002
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard Brodhead Stebbins, who also goes by Dick Stebbins, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1988 - 2002. Richard had worked at 8 firms and has passed the Series 63, Series 7, Series 22 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dick Stebbins

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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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Years of Experience

38 years in the financial services industry

Current & Past Employments

STONEBRIDGE CAPITAL PARTNERS LLC·CRD# 111438
RIA
Boulder, CO
December 19, 2000 - December 31, 2002
STEBBINS & ASSOCIATES LLC·CRD# 108585
RIA
Boulder, CO
January 1, 1999 - December 31, 2014
GEORGE K. BAUM & COMPANY·CRD# 36354
BD
Kansas City, MO
March 11, 1998 - November 30, 1998
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
September 10, 1996 - March 16, 1998
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
August 30, 1991 - May 14, 1996
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
September 4, 1990 - July 19, 1991
BOETTCHER & COMPANY, INC.·CRD# 101
BD
May 22, 1990 - September 4, 1990
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
June 22, 1988 - November 11, 1988

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Current Firm

No current employment

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1990About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1990About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Jun 1988About the Series 22 exam

Series 24 — General Securities Principal Examination

Passed Jun 1995About the Series 24 exam

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CRS (Client Relationship Summary)

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

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