BS
Brian J. Stephens
RUBICON ADVISORS
Redding, CA 96002
Some features on this profile are disabled
CRD#: 5196738
BS
Professional summary
Brian Jeffrey Stephens, who also goes by Brian Jeffrey Stephens, Brian Stephens, is a registered financial advisor currently at RUBICON ADVISORS located in Redding, California and LPL FINANCIAL LLC located in Redding, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Jeffrey Stephens | Brian Stephens
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) 07/28/2016: Personal Rental Property - Real Estate Rental - Investment Related - 21505 Seven Lakes Lane Redding, CA 96003 - Start 04/08/2006 - 2 Hr/Mo; 0 Hour(s) During Securities Trading; 1% Time Spent (2) 07/28/2016: Rubicon Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - 1640 E. Cypress Suite A, Redding, CA 96002 - Start 06/01/2016 (3) 09/07/2016: No Business Name - Real Estate Rental - Investment Related - 2620 Rainbow Lane Redding, CA 96002 - Start 05/01/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading. (4) 3/2/2018 - Rubicon Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Rubicon Advisors, an independent investment advisor firm. I started this business activity in 04/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (5) 12/09/2021 - Stephens Financial - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 12/01/2021 - 5 Hours Per Month/0 Hours During Securities Trading - For tax purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Jeffrey Stephens'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 28, 2016 - Present
RUBICON ADVISORS
Office #1: 1640 East Cypress Suite A, Redding, CA 96002RIA
CRD#: 174447
Redding, CA
Current
July 28, 2016 - Present
LPL FINANCIAL LLC
Office #1: 1640 E Cypress Avenue, Redding, CA 96002RIA
BD
CRD#: 6413
Redding, CA
Past
February 25, 2011 - July 29, 2016
EDWARD JONES
RIA
CRD#: 250
REDDING, CA
Past
February 25, 2011 - July 29, 2016
EDWARD JONES
BD
CRD#: 250
REDDING, CA
Past
March 12, 2010 - February 28, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
REDDING, CA
Past
March 12, 2010 - February 28, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
REDDING, CA
Past
February 20, 2007 - March 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
REDDING, CA
Past
December 15, 2006 - March 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
REDDING, 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".
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)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.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(7/28/2016)
IAR
California(7/28/2016)
RR
Florida(8/6/2020)
RR
Idaho(9/21/2020)
RR
Nevada(7/28/2016)
RR
Ohio(8/4/2020)
IAR
Texas(11/20/2023)
RR
Washington(7/28/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1640 East Cypress Suite A, Redding, CA 96002
Mailing Address
Phone number
(530) 223-5357
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 340,182,241 |
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.
