Stephen E. Rischall

NAVALIGN

Encino, CA 91436

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CRD#: 5215325

Professional summary

Stephen Edward Rischall, CFP®, who also goes by Stephen Edward Rischall Mr, Stephen Rischall, is a registered financial advisor currently at NAVALIGN, LLC located in Encino, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Edward Rischall Mr | Stephen Rischall

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) Mod Potter; Owner; E-commerce sales of plant and garden products; 6 hours per month, 0 during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Edward Rischall'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: 2017

Experience

Current

July 16, 2018 - Present

NAVALIGN, LLC

Office #1: 15910 Ventura Blvd Suite 1605, Encino, CA 91436

RIA

CRD#: 119919

Encino, CA

Past

July 29, 2015 - December 31, 2018

1080 FINANCIAL GROUP

RIA

CRD#: 226710

ENCINO, CA

Past

October 28, 2013 - August 3, 2015

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SHERMAN OAKS, CA

Past

October 22, 2013 - August 3, 2015

OSAIC SERVICES, INC.

CRD#: 133763

SHERMAN OAKS, CA

Past

November 4, 2009 - October 25, 2013

WADDELL & REED

RIA

CRD#: 866

SHERMAN OAKS, CA

Past

November 4, 2009 - October 25, 2013

WADDELL & REED

CRD#: 866

SHERMAN OAKS, CA

Past

March 4, 2009 - November 9, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

VALENCIA, CA

Past

December 11, 2008 - November 9, 2009

LPL FINANCIAL LLC

CRD#: 6413

VALENCIA, 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".

NAVALIGN, LLC

1080 FINANCIAL GROUP | NAVALIGN, LLC | LAURUS INVESTMENT MANAGEMENT, LLC | CARTER JACOBS, LLC | CARTER JACOBS

CRD#: 119919 / SEC#: 801-66206

RIA

Registered Investment Advisory firm - (1/30/2006 Approved)

California

Registered Investment Advisory firm - (7/21/2012 Terminated)

Utah

Registered Investment Advisory firm - (1/31/2006 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

California
(7/16/2018)

IAR

Texas
(1/30/2019)

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 66

Date: 3/3/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/2008

General Securities Representative Examination

Current Firm

NAVALIGN, LLC

1080 FINANCIAL GROUP | NAVALIGN, LLC | LAURUS INVESTMENT MANAGEMENT, LLC | CARTER JACOBS, LLC | CARTER JACOBS

CRD#: 119919 / SEC#: 801-66206

RIA

Registered Investment Advisory firm - (1/30/2006 Approved)

California

Registered Investment Advisory firm - (7/21/2012 Terminated)

Utah

Registered Investment Advisory firm - (1/31/2006 Terminated)

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Contact information

Main Address

15910 Ventura Blvd Suite 1605, Encino, CA 91436

Mailing Address

Phone number

(818) 728-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	1,845
AUM (Assets Under Management)	$ 655,556,765

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 E. Rischall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Edward Rischall's CRS (Customer Relationship Summary).

Certified licenses

Experience

1080 FINANCIAL GROUP

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

WADDELL & REED

WADDELL & REED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

NAVALIGN, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2009

SIE

Date: 8/3/2015

Series 7

Date: 12/10/2008

Current Firm

NAVALIGN, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAVALIGN, LLC

TRUST BUT VERIFY

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