SZ
Stephen Zhou
FOUNTAINHEAD ADVISORS
San Ramon, CA 94583
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CRD#: 6329297
SZ
Professional summary
Stephen Zhou is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in San Ramon, California.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Stephen has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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.
Insurance broker since 2014 selling Life Insurance, Disability Insurance, Long Term Care Insurance, and Annuities through MassMutual; not investment-related; located at 3003 Oak Rd. Suite 250 Walnut Creek, CA 94597; I spend approximately 50% of my time on this business, mostly during securities hours.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Zhou'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
December 23, 2020 - Present
FOUNTAINHEAD ADVISORS
Office #1: 2400 Camino Ramon Ste 380, San Ramon, CA 94583RIA
CRD#: 156185
San Ramon, CA
Past
February 14, 2019 - January 5, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WALNUT CREEK, CA
Past
February 17, 2016 - January 5, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALNUT CREEK, 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".
FA
FOUNTAINHEAD ADVISORS
ABRAHAMSENROCK, LLC | ROCK, MARC B. | FOUNTAINHEAD PRIVATE WEALTH | FOUNTAINHEAD CAPITAL, LLC | FOUNTAINHEAD CAPITAL MANAGEMENT, LLC | FOUNTAINHEAD ADVISORS | EPIC ADVISORY PARTNERS
CRD#: 156185 / SEC#: 801-79472
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)Florida
Registered Investment Advisory firm - (4/9/2014 Terminated)New York
Registered Investment Advisory firm - (4/9/2014 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.Highlighted states indicate IAR registrations
IAR
California(12/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/22/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
FOUNTAINHEAD ADVISORS
ABRAHAMSENROCK, LLC | ROCK, MARC B. | FOUNTAINHEAD PRIVATE WEALTH | FOUNTAINHEAD CAPITAL, LLC | FOUNTAINHEAD CAPITAL MANAGEMENT, LLC | FOUNTAINHEAD ADVISORS | EPIC ADVISORY PARTNERS
CRD#: 156185 / SEC#: 801-79472
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)Florida
Registered Investment Advisory firm - (4/9/2014 Terminated)New York
Registered Investment Advisory firm - (4/9/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Independence Blvd Suite 120, Warren, NJ 07059
Mailing Address
Phone number
(732) 346-1900
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,733 |
| AUM (Assets Under Management) | $ 1,019,956,144 |
Red Flags
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Company Information
FOUNTAINHEAD ADVISORS
CRD#: 156185San Ramon, CA 94583TRUST BUT VERIFY
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