AdvisorOS Directory
Claim Profile
Unclaimed Profile
SE

Stephen Arthur Ethridge

GUARDIAN INVESTMENT MANAGEMENT, LLC·TIBURON, California
SIE, Series 7TO, Series 65, Series 66Clean record28 years registeredGUARDIAN INVESTMENT MANAGEMENT, LLC
1120 MAR WEST ST., SUITE D, TIBURON, CA 94920CRD# 2703318Firm CRD# 104935

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen Arthur Ethridge · TIBURON, CA
Registration
CRD #2703318 · GUARDIAN INVESTMENT MANAGEMENT, LLC · 28 years registered
Brand Profile
Not yet started
01

Career History

MORGAN STANLEY
Jun 2025 – present
MORGAN STANLEY
Apr 2025 – present
GUARDIAN INVESTMENT MANAGEMENT
Aug 2013 – Dec 2018
TIBURON, CA
STEWART & PATTEN CO LLC
Jan 1998 – Apr 2013
SAN FRANCISCO, CA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7TO
Series 65
Series 66
Registration record
First registered · January 13, 1998
Years registered · 28
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
GUARDIAN INVESTMENT MANAGEMENT, LLC
CRD 104935 · SEC 801-11279
AUM
$304M
Regulatory assets under management
Employees
3
179 client accounts
Services offered by GUARDIAN INVESTMENT MANAGEMENT, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at GUARDIAN INVESTMENT MANAGEMENT, LLC →
Introduction

Speak with Stephen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in TIBURON?

Browse all registered financial advisors in TIBURON, California or claim this profile if it's yours.

Browse TIBURON AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Stephen Arthur Ethridge offer?
Stephen Arthur Ethridge specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in TIBURON, California for a consultation.
What are Stephen Arthur Ethridge's credentials?
Stephen Arthur Ethridge is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stephen Arthur Ethridge located?
Stephen Arthur Ethridge is based in TIBURON, California, working with GUARDIAN INVESTMENT MANAGEMENT, LLC. Their office serves clients in the TIBURON metropolitan area and surrounding communities.
How does Stephen Arthur Ethridge charge for services?
Stephen Arthur Ethridge's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is GUARDIAN INVESTMENT MANAGEMENT, LLC?
GUARDIAN INVESTMENT MANAGEMENT, LLC has approximately 3 employees and manages $304M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

More Advisors in TIBURON, California

Scott Richard Arwin
RING MOUNTAIN CAPITAL, LLC·TIBURON, CA
CFA
Mary Modesta Bersot
BERSOT CAPITAL MANAGEMENT, LLC·TIBURON, CA
Michael Reid Vogel
FRONT ROW ADVISORS LLC·TIBURON, CA
Scott Andrew Chapman
CHAPMAN INVESTMENT MANAGEMENT, LLC·TIBURON, CA
Stephen Andrew Bradley
FRONT ROW ADVISORS LLC·TIBURON, CA
Pamela Elise Krueger
WEALTHRAMP, INC.·TIBURON, CA

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in California
SAN FRANCISCO (951)LOS ANGELES (679)SAN DIEGO (421)NEWPORT BEACH (277)IRVINE (191)PASADENA (130)WALNUT CREEK (121)SANTA MONICA (118)SANTA BARBARA (103)LA JOLLA (100)
City Guides
SAN FRANCISCO GuideLOS ANGELES GuideSAN DIEGO GuideNEWPORT BEACH GuideIRVINE Guide
Research
Advisor Fees in CaliforniaNational Fee Analysis
Request removal of this profile