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Stephen M. Brickley
BRICKLEY WEALTH MANAGEMENT
Atherton, CA
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CRD#: 3233791
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Professional summary
Stephen Mark Brickley is a registered financial advisor currently at BRICKLEY WEALTH MANAGEMENT located in Atherton, California.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephen has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 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. 3/7/2005: CPA/BOOKKEEPER/TAX PREPARER - INV REL- CERTIFIED PUBLIC ACCOUNT - OPERATES SOLELY OUT OF BRICKLEY & COMPANY CPA INC. 2. Licensed insurance agent - variable, life only, and accident & health. 3 June 2025 appointed member of the Audit and Finance Committee for the Town of Atherton, CA - A Non-Investment related entity. The Audit & Finance committee guides budgeting, long-range planning, and oversight of the town's annual audit process. The role is advisory in nature, is not compensated, and the Town of Atherton is not a client of Brickley Wealth Management. While the time commitment may vary, the position may occasionally involve participation of no more than one hour during business hours. However, the adviser has implemented internal procedures to monitor and manage any potential conflicts of interest, and this outside activity does not interfere with the individual's responsibilities to advisory clients.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Mark Brickley'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
July 18, 2017 - Present
BRICKLEY WEALTH MANAGEMENT
RIA
CRD#: 287487
Atherton, CA
Past
July 7, 1999 - June 13, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN MATEO, CA
Past
June 11, 1999 - June 13, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN MATEO, CA
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".
BW
BRICKLEY WEALTH MANAGEMENT
BRICKLEY WEALTH MANAGEMENT | BRICKLEY WEALTH MANAGEMENT, LLC
CRD#: 287487 / SEC#: 801-110453
RIA
Registered Investment Advisory firm - (5/2/2017 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(7/18/2017)
IAR
Oregon(3/31/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BW
BRICKLEY WEALTH MANAGEMENT
BRICKLEY WEALTH MANAGEMENT | BRICKLEY WEALTH MANAGEMENT, LLC
CRD#: 287487 / SEC#: 801-110453
RIA
Registered Investment Advisory firm - (5/2/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
161 W 25th Avenue Suite 204, San Mateo, CA 94403-2266
Mailing Address
161 W 25th Avenue Suite 204, San Mateo, CA 94403-2266
Phone number
(650) 638-0111
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 824,282,906 |
Red Flags
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