James S. Brophy

BROPHY WEALTH MANAGEMENT

Bedford, NH 03110

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CRD#: 5731000

Professional summary

James Stephen Brophy, CFP®, CLU® is a registered financial advisor currently at BROPHY WEALTH MANAGEMENT, LLC located in Bedford, New Hampshire and APW CAPITAL, INC. located in Bedford, New Hampshire.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 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) BROPHY WEALTH MANAGEMENT, LLC; BEDFORD NH, SINCE 6/15/2015; RIA; POSITION: FINANCIAL PLANNER; 100% OF TIME SPENT. (2) Reverand Gelinas Scholarship Fund; Manchester, NH; investment related; Start date: 6/28/18; title: treasurer; Duties: main point of contact with accountant and investment broker; 6 hrs/yr

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stephen Brophy'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

CLU^®

Chartered Life Underwriter

Experience

Current

March 10, 2016 - Present

BROPHY WEALTH MANAGEMENT, LLC

Office #1: 40 South River Road Bedford Place Unit 15, Bedford, NH 03110

RIA

CRD#: 169894

Bedford, NH

Current

December 23, 2015 - Present

APW CAPITAL, INC.

Office #1: 40 South River Road Unit 15, Bedford, NH 03110

CRD#: 43814

Bedford, NH

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".

BROPHY WEALTH MANAGEMENT, LLC

BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT

CRD#: 169894 / SEC#: 801-78964

RIA

Registered Investment Advisory firm - (12/17/2013 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.

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

Colorado
(8/15/2025)

Massachusetts
(1/25/2016)

IAR

Massachusetts
(1/30/2017)

New Hampshire
(1/25/2016)

IAR

New Hampshire
(3/10/2016)

North Carolina
(10/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BROPHY WEALTH MANAGEMENT, LLC

BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT

CRD#: 169894 / SEC#: 801-78964

RIA

Registered Investment Advisory firm - (12/17/2013 Approved)

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Contact information

Main Address

40 South River Road Bedford Place Unit 15, Bedford, NH 03110

Mailing Address

Phone number

(603) 668-2303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,177
AUM (Assets Under Management)	$ 512,561,408

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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James S. Brophy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stephen Brophy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROPHY WEALTH MANAGEMENT, LLC

APW CAPITAL, INC.

Primary Firm SEC Registration

BROPHY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2015

FINRA

Current Firm

BROPHY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROPHY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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