Ethan Ashbrook

STEELPEAK WEALTH

Santa Barbara, CA 93101

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CRD#: 7744696

Professional summary

Ethan Ashbrook is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Santa Barbara, California.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Ethan has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Ashbrook'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

May 12, 2026 - Present

STEELPEAK WEALTH, LLC

Office #1: 525 Olive Street, Santa Barbara, CA 93101

RIA

CRD#: 165168

Santa Barbara, CA

Past

March 31, 2025 - May 13, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SANTA MARIA, CA

Past

October 5, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SANTA BARBARA, CA

Past

July 12, 2023 - May 13, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SANTA BARBARA, 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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 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.

Highlighted states indicate IAR registrations

IAR

California
(5/12/2026)

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: 10/3/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/12/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/7/2022

Securities Industry Essentials Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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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Advisor Monitoring

Firm Stability Insights

Ethan Ashbrook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Ashbrook's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2023

Series 63

Date: 8/10/2023

Series 7TO

Date: 7/12/2023

SIE

Date: 9/7/2022

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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