Bradley Stephenson

STEPHENSON AND COMPANY

SAN CLEMENTE, CA 92672-4006

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CRD#: 862866

Professional summary

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

Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Bradley has worked at 8 firms and has passed the Series 65, Series 63 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 Bradley 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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

November 12, 2010 - Present

STEPHENSON AND COMPANY, INC.

Office #1: 241 Avenida Del Mar, San Clemente, CA 92672-4006

RIA

CRD#: 111453

SAN CLEMENTE, CA

Past

November 15, 2006 - September 5, 2017

GLOBAL INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 133850

ALISO VIEJO, CA

Past

April 28, 1999 - November 15, 2010

REGENCY SECURITIES, INC.

CRD#: 7846

IRVINE, CA

Past

November 19, 1989 - April 13, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 31, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 15, 1981 - November 25, 1981

FIRST WILSHIRE SECURITIES, INC.

CRD#: 6609

Past

January 31, 1980 - July 26, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 26, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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
(11/12/2010)

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 65

Date: 3/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

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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Advisor Monitoring

Firm Stability Insights

Bradley Stephenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GLOBAL INVESTMENT SOLUTIONS, LLC

REGENCY SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FIRST WILSHIRE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

STEPHENSON AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/1996

Series 63

Date: 5/15/1985

Series 7

Date: 2/17/1979

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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