Collin C. Zines

STEPHENSON AND COMPANY

San Clemente, CA 92672

Some features on this profile are disabled

CRD#: 7069188

Professional summary

Collin Christopher Zines is a registered financial advisor currently at STEPHENSON AND COMPANY, INC. located in San Clemente, California.

Collin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Collin has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE 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.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 10/2019 - 160 HRS / MONTH - NATIONAL CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Collin Christopher Zines'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®

None

Experience

Current

April 21, 2025 - Present

STEPHENSON AND COMPANY, INC.

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

RIA

CRD#: 111453

San Clemente, CA

Past

December 18, 2019 - April 2, 2025

ASSETMARK, INC.

RIA

CRD#: 109018

ENCINO, CA

Past

November 8, 2019 - April 2, 2025

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Encino, CA

Past

March 25, 2019 - October 10, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN CLEMENTE, 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
(4/21/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/25/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/28/2019

Securities Industry Essentials 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

David Carrow

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Rochester, MN

Gregory Holland

O'HAGAN GROUP, INC.

IAR

Bethlehem, PA

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Collin C. Zines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Collin Christopher Zines's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

STEPHENSON AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2019

Series 63

Date: 4/5/2019

Series 6TO

Date: 3/25/2019

SIE

Date: 2/28/2019

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

Similar Advisors