Stephen A. Brasier

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CRD#: 2337803

Professional summary

Being a previously registered professional could mean that this person 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.

Stephen Alden Brasier, who also goes by Steve Brasier, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 3 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Brasier

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)

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

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

Past

October 22, 2014 - August 22, 2016

GFO ADVISORY SERVICES, LLC

RIA

CRD#: 109278

CHEVY CHASE, MD

Past

March 14, 2007 - October 14, 2008

GFO ADVISORY SERVICES, LLC

RIA

CRD#: 109278

CHEVY CHASE, MD

Past

May 22, 2006 - March 30, 2007

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

BALTIMORE, MD

Past

April 27, 2006 - March 30, 2007

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BALTIMORE, MD

Past

April 3, 1993 - May 11, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

GFO ADVISORY SERVICES, LLC

CRD#: 109278 / SEC#: 801-56752

RIA

Registered Investment Advisory firm - (8/5/1999 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/19/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/20/1993

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2006

General Securities Principal Examination

Current Firm

GFO ADVISORY SERVICES, LLC

CRD#: 109278 / SEC#: 801-56752

RIA

Registered Investment Advisory firm - (8/5/1999 Approved)

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Contact information

Main Address

4 Greenwich Office Park 1st Floor, Greenwich, CT 06831-5115

Mailing Address

Phone number

(203) 661-6616

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (5/22/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 290,648,483

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/26/2025	Cover Page	Report
03/07/2024	Cover Page	Report
04/17/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen A. Brasier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GFO ADVISORY SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GFO ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2014

Series 66

Date: 5/19/2006

Series 63

Date: 4/8/1993

Series 7

Date: 4/26/2006

Series 3

Date: 5/20/1993

Series 24

Date: 6/27/2006

Current Firm

GFO ADVISORY SERVICES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GFO ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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