Brian Stephens has been an investment adviser representative at Rubicon Advisors, GP since July 2016, and is not listed among the firm’s executive officers or direct owners.
Rubicon Advisors, GP is a Redding, CA firm with $421M under management, 1,391 clients and 19 advisers across 6 offices, as of its September 2026 filing.
Brian Stephens’ longest registration is the current one, 10 years at Rubicon Advisors, GP since 2016. Before joining Rubicon Advisors, GP in 2016, Brian Stephens was registered through Edward Jones and Chase Investment Services Corp.
- Edward Jones– · 5 yearsRedding, CA · Adviser representative · Firm CRD 250
- Chase Investment Services Corp.– · under a yearRedding, CA · Adviser representative · Firm CRD 25574
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsRedding, CA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Brian Stephens is registered as an investment adviser representative in 2 states. The first approvals date from July 2016; the most recent is Texas, in November 2023.
- CaliforniaSince 28 July 2016
- TexasSince 20 November 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 February 2007 |
| Series 7 | General Securities Representative Examination | 14 December 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Jeffrey Stephens
- CRD
- 5196738
- Firm
- Rubicon Advisors, GP · CRD 174447
- Office
- 1640 EAST CYPRESS, SUITE A, Redding, CA 96002
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Brian Stephens work?
Brian Stephens is an investment adviser representative registered through Rubicon Advisors, GP since July 2016, and is not listed among the firm’s executive officers or direct owners.
Is Brian Stephens a financial advisor?
Yes. Brian Stephens has a current investment-adviser registration in California and Texas, through Rubicon Advisors, GP since July 2016.
How many years of experience does Brian Stephens have?
Brian Stephens has 19 years in the financial industry, since December 2006, across 4 adviser firms.
What exams has Brian Stephens passed?
Brian Stephens has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2006. FINRA credited Brian Stephens with the SIE, which began in October 2018.
Where did Brian Stephens work before Rubicon Advisors, GP?
Before Rubicon Advisors, GP, Brian Stephens was registered through Chase Investment Services Corp., March 2010 to February 2011; Merrill Lynch, Pierce, Fenner & Smith Incorporated, February 2007 to March 2010.
Where is Brian Stephens based?
Brian Stephens’ registered office is in Redding, CA.
Is Brian Stephens registered with FINRA?
Yes. Brian Stephens has a current broker registration, under CRD 5196738.
Source: FINRA BrokerCheck
How can I verify Brian Stephens’ record?
Search CRD 5196738 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Brian Stephens’ full registration record.