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Riley Sean Stephenson

STEPHENSON AND COMPANY, INC.·SAN CLEMENTE, California
Series 7, Series 66Clean record13 years registeredSTEPHENSON AND COMPANY, INC.
241 AVENIDA DEL MAR, SAN CLEMENTE, CA 92672CRD# 5948265Firm CRD# 111453

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Riley Sean Stephenson · SAN CLEMENTE, CA
Registration
CRD #5948265 · STEPHENSON AND COMPANY, INC. · 13 years registered
Brand Profile
Not yet started
01

Career History

STEPHENSON AND COMPANY, INC.
May 2014 – present
MORGAN STANLEY
Apr 2013 – Apr 2014
SANTA ROSA, CA
02

Registrations & Exams

FINRA examinations passed
Series 7
Series 66
Registration record
First registered · April 1, 2013
Years registered · 13
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
STEPHENSON AND COMPANY, INC.
CRD 111453 · SEC 801-117128
AUM
$266M
Regulatory assets under management
Employees
4
494 client accounts
Services offered by STEPHENSON AND COMPANY, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at STEPHENSON AND COMPANY, INC. →
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05

Frequently Asked Questions

What services does Riley Sean Stephenson offer?
Riley Sean Stephenson specializes in Financial Planning, Investment Management. Contact their office in SAN CLEMENTE, California for a consultation.
What are Riley Sean Stephenson's credentials?
Riley Sean Stephenson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Riley Sean Stephenson located?
Riley Sean Stephenson is based in SAN CLEMENTE, California, working with STEPHENSON AND COMPANY, INC.. Their office serves clients in the SAN CLEMENTE metropolitan area and surrounding communities.
How does Riley Sean Stephenson charge for services?
Riley Sean Stephenson's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is STEPHENSON AND COMPANY, INC.?
STEPHENSON AND COMPANY, INC. has approximately 4 employees and manages $266M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Bradley Stephenson
SAN CLEMENTE, CA

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