Stephen E. Berube

ECHO CREEK CAPITAL

Rockville, MD

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CRD#: 1897357

Professional summary

Stephen Edmond Berube is a registered financial advisor currently at ECHO CREEK CAPITAL, LLC located in Rockville, Maryland.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Stephen has worked at 3 firms and has passed the Series 65, Series 63 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 Edmond Berube'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®

None

Experience

Current

July 12, 2013 - Present

ECHO CREEK CAPITAL, LLC

RIA

CRD#: 167451

Rockville, MD

Past

October 29, 1998 - July 22, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BETHESDA, MD

Past

September 25, 1998 - July 22, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BETHESDA, MD

Past

December 20, 1988 - October 5, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Maryland
(7/12/2013)

IAR

Virginia
(9/12/2014)

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: 4/1/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

Current Firm

ECHO CREEK CAPITAL, LLC

CRD#: 167451 / SEC#:

Maryland

Registered Investment Advisory firm - (7/1/2013 Approved)

Virginia

Registered Investment Advisory firm - (9/12/2014 Approved)

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Contact information

Main Address

Rockville, MD

Mailing Address

Phone number

(301) 652-0724

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 22,000,000

Red Flags

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

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Firm Stability Insights

Stephen E. Berube

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Edmond Berube's CRS (Customer Relationship Summary).

Certified licenses

Experience

ECHO CREEK CAPITAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1993

Series 63

Date: 12/20/1988

Series 7

Date: 12/17/1988

Current Firm

ECHO CREEK CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ECHO CREEK CAPITAL, LLC

TRUST BUT VERIFY

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