Stephen P. Weatherby

PARALLEL ADVISORS

DURANGO, CO 81301

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CRD#: 4151364

Professional summary

Stephen Paul Weatherby, CFP® is a registered financial advisor currently at PARALLEL ADVISORS, LLC located in Durango, Colorado.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 13 firms and has passed the Series 65, Series 63 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Weatherby'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

January 23, 2023 - Present

PARALLEL ADVISORS, LLC

Office #1: 125 East 32nd St Suite 4, Durango, CO 81301

RIA

CRD#: 140800

DURANGO, CO

Past

April 16, 2021 - February 21, 2023

AUTUS ASSET MANAGEMENT, LLC

RIA

CRD#: 118439

Durango, CO

Past

August 8, 2016 - July 21, 2021

INTEGRATED FINANCIAL PLANNING, P.C.

RIA

CRD#: 113253

DURANGO, CO

Past

October 2, 2012 - August 19, 2016

SHARKEY HOWES & JAVER INC

RIA

CRD#: 106050

DENVER, CO

Past

January 7, 2010 - January 10, 2011

BULLOCK CAPITAL ALLIANCE, INC.

RIA

CRD#: 121485

COLORADO SPRINGS, CO

Past

May 22, 2007 - November 4, 2008

STRASBAUGH FINANCIAL ADVISORY, INC.

RIA

CRD#: 111672

COLORADO SPRINGS, CO

Past

September 22, 2004 - December 12, 2005

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 2, 2004 - August 2, 2004

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

April 23, 2004 - August 31, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

May 16, 2003 - September 22, 2003

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

August 13, 2002 - March 5, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

October 25, 2001 - June 14, 2002

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

December 11, 2000 - March 23, 2001

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(1/23/2023)

IAR

Texas
(1/23/2023)

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: 5/19/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/8/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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 P. Weatherby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Weatherby's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUTUS ASSET MANAGEMENT, LLC

INTEGRATED FINANCIAL PLANNING, P.C.

SHARKEY HOWES & JAVER INC

BULLOCK CAPITAL ALLIANCE, INC.

STRASBAUGH FINANCIAL ADVISORY, INC.

FSC SECURITIES CORPORATION

TRIAD ADVISORS LLC

MONY SECURITIES CORPORATION

THRIVENT INVESTMENT MANAGEMENT INC.

VALIC FINANCIAL ADVISORS, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2023

Series 63

Date: 1/15/2002

Series 6

Date: 12/8/2000

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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