Riley Stephenson has been Shareholder/Chief Financial Officer of Stephenson and Company since January 2016, is a control person of the firm and directly owns between 10% and 25% of it. Riley Stephenson holds a BA in Business Economics from the University of California Santa Barbara.
Stephenson and Company, Inc. is a San Clemente, CA firm with $447M under management, 265 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Riley Stephenson is Wealth Advisor of Stephenson and Company, Inc., based in San Clemente, CA. He joined the firm in 2014, after serving as an Institutional Consulting Analyst with Graystone Consulting, a business of Morgan Stanley. At Stephenson and Company he provides wealth management and financial planning services to individuals and families.
Riley Stephenson’s longest registration is the current one, 12 years at Stephenson and Company since 2014. Before joining Stephenson and Company in 2014, Riley Stephenson was registered through Morgan Stanley.
- Stephenson and Company, Inc.Current– present · 12 yearsSan Clemente, CA · Adviser representative · Firm CRD 111453
- Morgan Stanley– · 1 yearSanta Rosa, CA · Adviser representative · Firm CRD 149777
Professional designations
Listed by Stephenson and Company
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
Riley Stephenson is registered as an investment adviser representative in 2 states. The first approvals date from May 2014; the most recent is Texas, in August 2019.
- CaliforniaSince 22 May 2014
- TexasSince 21 August 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 29 March 2013 |
| Series 7 | General Securities Representative Examination | 28 January 2013 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Riley Sean Stephenson
- CRD
- 5948265
- Firm
- Stephenson and Company · CRD 111453
- Role
- Shareholder/Chief Financial Officer
- Office
- 241 AVENIDA DEL MAR, San Clemente, CA 92672
- Registration
- Investment adviser registration
- In the industry since
- May 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- stephensonfinancial.com
Where does Riley Stephenson work?
Riley Stephenson has been Shareholder/Chief Financial Officer of Stephenson and Company, Inc. since January 2016, and is a control person of the firm.
Is Riley Stephenson a financial advisor?
Yes. Riley Stephenson has a current investment-adviser registration in California and Texas, through Stephenson and Company since May 2014.
How many years of experience does Riley Stephenson have?
Riley Stephenson has 13 years in the financial industry, since May 2013, across 2 adviser firms.
What exams has Riley Stephenson passed?
Riley Stephenson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in January 2013.
Where did Riley Stephenson work before Stephenson and Company?
Before Stephenson and Company, Riley Stephenson was registered through Morgan Stanley, April 2013 to April 2014.
Where is Riley Stephenson based?
Riley Stephenson’s registered office is in San Clemente, CA.
Is Riley Stephenson registered with FINRA?
No. Riley Stephenson has no current broker registration.
Is Riley Stephenson a CFP?
Stephenson and Company lists Riley Stephenson with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Riley Stephenson, CFA, CFP® biography, stephensonfinancial.com
Is Riley Stephenson a CFA charterholder?
Stephenson and Company lists Riley Stephenson with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
Source: Riley Stephenson, CFA, CFP® biography, stephensonfinancial.com
How can I verify Riley Stephenson’s record?
Search CRD 5948265 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Riley Stephenson’s full registration record.