Stephen F. Rossi
STRATEGIC ADVISERS LLC | Financial Consultant
WALNUT CREEK, CA
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CRD#: 6678496
Professional summary
Stephen Frank Rossi, who also goes by Stephen F Rossi, Stephen Rossi, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Walnut Creek, California and FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Advising clients through planning & structuring the complexity of their wealth and finances, helping them with their short & long term goals while handling unforeseen circumstances & preparing for major life events
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen F Rossi | Stephen Rossi
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Frank Rossi'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®
NoneEducation
Chico State University
Bachelor of Business Administration - Marketing
2005
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 44 Montgomery St Ste 2350, San Francisco, CA 94104RIA
CRD#: 104555
WALNUT CREEK, CA
Current
August 6, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 44 Montgomery St Ste 2350, San Francisco, CA 94104BD
CRD#: 7784
San Francisco, CA
Past
August 29, 2019 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SAN FRANCISCO, CA
Past
October 10, 2016 - July 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OAKLAND, CA
Past
August 29, 2016 - July 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OAKLAND, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.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
Arizona(10/8/2021)
RR
California(8/6/2019)
IAR
California(3/31/2025)
RR
Colorado(3/4/2022)
RR
District of Columbia(8/8/2020)
RR
Florida(2/6/2020)
RR
Georgia(4/23/2020)
RR
Hawaii(2/6/2020)
RR
Illinois(8/8/2020)
RR
Maryland(9/29/2023)
RR
Massachusetts(3/1/2024)
RR
Michigan(8/8/2020)
RR
Minnesota(11/16/2020)
RR
Missouri(4/23/2020)
RR
Nebraska(10/9/2020)
RR
Nevada(4/23/2020)
RR
New Jersey(3/4/2022)
RR
New York(8/8/2020)
RR
North Carolina(3/4/2022)
RR
Ohio(4/24/2020)
RR
Oregon(4/23/2020)
RR
Pennsylvania(10/8/2021)
RR
South Dakota(2/12/2021)
RR
Texas(4/23/2020)
IAR
Texas(3/31/2025)
RR
Virginia(11/16/2020)
RR
Washington(8/8/2020)
RR
Wisconsin(9/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Walnut Creek, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
