Riley S. Stephenson

STEPHENSON AND COMPANY

San Clemente, CA 92672

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CRD#: 5948265

Professional summary

Riley Sean Stephenson, CFA, CFP® is a registered financial advisor currently at STEPHENSON AND COMPANY, INC. located in San Clemente, California.

Riley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Riley has worked at 2 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riley Sean Stephenson'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

May 22, 2014 - Present

STEPHENSON AND COMPANY, INC.

Office #1: 241 Avenida Del Mar, San Clemente, CA 92672

RIA

CRD#: 111453

San Clemente, CA

Past

April 1, 2013 - April 3, 2014

MORGAN STANLEY

RIA

CRD#: 149777

SANTA ROSA, CA

Past

January 29, 2013 - April 3, 2014

MORGAN STANLEY

CRD#: 149777

SANTA ROSA, 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".

STEPHENSON AND COMPANY, INC.

BRADLEY STEPHENSON | STEPHENSON AND COMPANY, INC. | STEPHENSON AND COMPANY

CRD#: 111453 / SEC#: 801-117128

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (9/4/2019 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
(5/22/2014)

IAR

Texas
(8/21/2019)

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: 3/29/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/28/2013

General Securities Representative Examination

Current Firm

STEPHENSON AND COMPANY, INC.

BRADLEY STEPHENSON | STEPHENSON AND COMPANY, INC. | STEPHENSON AND COMPANY

CRD#: 111453 / SEC#: 801-117128

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (9/4/2019 Terminated)

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Contact information

Main Address

241 Avenida Del Mar, San Clemente, CA 92672

Mailing Address

Phone number

(949) 727-4255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPHENSON AND COMPANY, INC. ADV BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	543
AUM (Assets Under Management)	$ 311,784,935

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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Riley S. Stephenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riley Sean Stephenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENSON AND COMPANY, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

STEPHENSON AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2013

Series 7

Date: 1/28/2013

Current Firm

STEPHENSON AND COMPANY, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEPHENSON AND COMPANY, INC.

TRUST BUT VERIFY

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