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SS

Steven L. Sears

ROBERTSON STEPHENS CAPITAL MARKETS
San Francisco, CA 94105-2442
Some features on this profile are disabled
CRD#: 2067697
SS

Professional summary

Steven L Sears, who also goes by Steven Laurence Sears, is a registered financial professional currently at ROBERTSON STEPHENS CAPITAL MARKETS, LLC located in San Francisco, California.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 9, Series 10 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Laurence Sears

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) - BD

Click below to view Steven L Sears's CRS (Customer Relationship Summary).
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

August 25, 2025 - Present

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

Office #1: 455 Market Street Ste. 1450, San Francisco, CA 94105-2442
BD
CRD#: 290635
San Francisco, CA
Past

September 29, 2023 - January 12, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
San Francisco, CA
Past

September 20, 2012 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
San Francisco, CA
Past

February 3, 2011 - September 20, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WALNUT CREEK, CA
Past

June 1, 2009 - June 11, 2010

MORGAN STANLEY

BD
CRD#: 149777
SAN FRANCISCO, CA
Past

April 9, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN FRANCISCO, CA
Past

September 9, 2004 - March 26, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WALNUT CREEK, CA
Past

December 6, 2002 - December 18, 2002

NOLLENBERGER CAPITAL PARTNERS INC.

BD
CRD#: 119248
SAN FRANCISCO, CA
Past

June 9, 1998 - September 3, 1998

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

October 12, 1990 - April 9, 1998

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

July 31, 1990 - December 4, 1990

MONARCH SECURITIES, INC.

BD
CRD#: 2809

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(9/16/2025)
RR
Connecticut
(9/17/2025)
RR
Idaho
(9/8/2025)
RR
New York
(9/21/2025)
RR
Texas
(8/26/2025)
RR
Washington
(8/28/2025)
RR
Wyoming
(9/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/24/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/13/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/5/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/2/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

RS
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
ROBERTSON STEPHENS CAPITAL MARKETS, LLC | RSCM, LLC

CRD#: 290635 / SEC#: , 8-70034

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Mailing Address
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Phone number
(415) 500-6810
Established
Delaware since 08/31/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBERTSON STEPHENS HOLDINGS, LLCMANAGING MEMBER
CURLEY, MICHAEL JAMESCHIEF COMPLIANCE OFFICER2197705
MURRAY, JOHN GEORGEPRESIDENT1236207
WESTBROOK, DAVIDCHIEF FINANCIAL OFFICER5502571
YATES, EUGENE ALANFINOP2851324

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.

Company Information

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

CRD#: 290635San Francisco, CA 94105-2442

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