SS
Scott M. Stephan
PORTSIDE WEALTH GROUP
Riverside, CA 92507
Some features on this profile are disabled
CRD#: 2382286
SS
Professional summary
Scott Martin Stephan is a registered financial advisor currently at PORTSIDE WEALTH GROUP, LLC located in Riverside, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Scott has worked at 9 firms and has passed the Series 63, SIE, Series 7 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.
1) FORETHOUGHT MEDICAL RESOURCES, LLC; NON-INVESTMENT RELATED; 35610 ABELIA ST. MURRIETA, CA 92562; MEDICAL SUPPLIES; PRESIDENT; 02/2015; 1% DURING BUSINESS HOURS; DISTRIBUTE MEDICAL INSTRUMENTS AND SUPPLIES FOR SURGERY, FACILITATE CONTRACTS WITH SUPPLIERS AND HOSPITALS
2) STEPHAN INSURANCE AND FINANCIAL SERVICES; INVESTMENT RELATED; 5041 LAMART DR. #110 RIVERSIDE, CA 92507; INSURANCE AND MARKETING NAME FOR SECURITIES BUSINESS; 01/1995; 80% DURING BUSINESS HOURS; SELL INSURANCE AND SERVES AS A MARKETING NAME FOR MY SECURITIES BUSINESS
3) STARTED 5/9/2010-PRESENT;SCOTT M. STEPHAN, OWNER/INDEPENDENT AGENT; FIXED INSURANCE SALES AND SERVICE;LIFE,ANNUITIES, HEALTH,LTC , 25 HRS/WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Martin Stephan'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
April 20, 2023 - Present
PORTSIDE WEALTH GROUP, LLC
Office #1: 5041 Lamart Dr #110, Riverside, CA 92507RIA
CRD#: 325175
Riverside, CA
Past
May 13, 2019 - June 13, 2023
TOWNSQUARE CAPITAL, LLC
RIA
CRD#: 288576
Riverside, CA
Past
February 28, 2019 - October 14, 2022
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
RIVERSIDE, CA
Past
May 9, 2016 - March 28, 2019
ALLEGIS INVESTMENT SERVICES, LLC
BD
CRD#: 168557
Riverside, CA
Past
December 28, 2015 - June 8, 2016
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
RIVERSIDE, CA
Past
August 25, 2010 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
RIVERSIDE, CA
Past
December 4, 2000 - September 1, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RIVERSIDE, CA
Past
January 29, 1995 - October 9, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
November 8, 1993 - February 21, 1995
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
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".
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
Registered Investment Advisory firm - (3/24/2023 Approved)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(4/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
Registered Investment Advisory firm - (3/24/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3507 N University Ave Suite 150, Provo, UT 84604
Mailing Address
Phone number
(385) 412-1222
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,507 |
| AUM (Assets Under Management) | $ 1,125,318,236 |
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.
