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Stephen P. Bick
COTTINGHAM MANAGEMENT COMPANY
Carlsbad, CA 92009
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CRD#: 2060637
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Professional summary
Stephen Philip Bick is a registered financial advisor currently at COTTINGHAM MANAGEMENT COMPANY, LLC located in Carlsbad, California.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Stephen has worked at 2 firms and has passed the Series 63, Series 3 and Series 6 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 Hawaii Fudge Company; not investment related; 310 Hukilike Street, Unit M, Kahului, HI 96732; Confectionary Production; CEO since 1/2014; Approximately 50 hours per month; some of which during securities trading hours. Majella Assisted Living; not investment related; 2794 Gateway Road, Carlsbad CA 92009; Privately held Residential Care for the Elderly facilities; Adviser to the CEO since 4/2020; Approximately 25 hours per month, some of which during securities trading hours. Boundary Acquisition; not investment related; 12441 900 E #100, Draper, UT 84020; Backpack Manufacturing; CEO since 1/2021; Approximately 50 hours per month, some of which during securities trading hours. Lead Commerce; not investment related; 2794 Gateway Road, Carlsbad CA 92009; Software as a service; Investment Manager since 1/2010; Approximately 10 hours per month, some of which during securities trading hours. Ubuntu Income and Private Equity Fund GP, LLC, not investment related, 2794 Gateway Road, Carlsbad CA 92009; General Partner of a private fund, Manager since 6/2020; Approximately 1 hour per month, some of which during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Philip Bick'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®
NoneExperience
Current
May 11, 2001 - Present
COTTINGHAM MANAGEMENT COMPANY, LLC
Office #1: 2794 Gateway Road #115, Carlsbad, CA 92009RIA
CRD#: 134276
Carlsbad, CA
Past
May 18, 1990 - November 8, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
California(5/11/2001)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CM
COTTINGHAM MANAGEMENT COMPANY, LLC
COTTINGHAM MANAGEMENT COMPANY LLC | COTTINGHAM MANAGEMENT COMPANY, LLC
CRD#: 134276 / SEC#:
California
Registered Investment Advisory firm - (5/11/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2794 Gateway Road, Carlsbad, CA 92009
Mailing Address
Phone number
(858) 764-7200
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 27,997,487 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
