Role at Parallel Advisors
- Registration
- Investment adviser representative, through Parallel Advisors, LLC since 18 September 2015
- Officer or owner
- Michael Stephens is not listed among Parallel Advisors’ executive officers or direct owners.
The firm
Form ADV filed 29 June 2026
Career on record
Michael Stephens has been registered through Parallel Advisors since September 2015, and before that through Rosenblum Silverman Sutton Sf.
- Parallel Advisors, LLCCurrent– present · 11 yearsSan Francisco, CA · Adviser representative · Firm CRD 140800
- Rosenblum Silverman Sutton Sf Inc– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 105774
- Passed Series 65 · 2015
- Passed Series 9 and Series 10 · 2000
- Passed Series 7 and Series 63 · 1997
Registrations and exams
Michael Stephens is registered as an investment adviser representative in California and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 18 September 2015 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 September 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 April 1997 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 27 March 2000 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 11 January 2000 |
| Series 7 | General Securities Representative Examination | 19 February 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
Adviser record
- Full name
- Michael Whitney Stephens
- CRD
- 2726593
- Registered in
- California
- Office
- 150 Spear Street, Suite 1600, San Francisco, CA 94105
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Michael Stephens work?
Michael Stephens is an investment adviser representative registered through Parallel Advisors, LLC since September 2015, and is not listed among the firm’s executive officers or direct owners.
Is Michael Stephens a financial advisor?
Yes. Michael Stephens is registered as an investment adviser representative in California, through Parallel Advisors since September 2015, as of 14 October 2026.
How many years of experience does Michael Stephens have?
Michael Stephens has worked in the financial industry for 11 years as of 14 October 2026, counted from 31 August 2015, across 2 adviser firms.
What exams has Michael Stephens passed?
Michael Stephens has passed 5 licensing exams: the Series 7, Series 63, Series 9, Series 10 and Series 65. The earliest, the Series 7, was passed in February 1997.
Where did Michael Stephens work before Parallel Advisors?
Before Parallel Advisors, Michael Stephens was registered through Rosenblum Silverman Sutton Sf Inc, September 2015 to October 2015.
Where is Michael Stephens based?
Michael Stephens’ registered office is in San Francisco, CA.
Leadership at Parallel Advisors
Jerry RendicChief Executive Officer
Diane GabianelliChief Financial Officer
Sangeetha SrinivasanChief Compliance Officer- Daniel HaspelElected Manager
Jacob SchuttChief Wealth Officer