Scott Stephens has been Managing Director / Partner of Baker Avenue Asset Management since January 2014, is not listed as a control person, but directly owns under 5% of the firm.
Baker Avenue Asset Management, LP is a San Francisco, CA firm with $5.09B under management, 1,024 clients and 29 advisers across 14 offices, as of its September 2026 filing.
Scott Stephens is Wealth Advisor, Partner of BakerAvenue. He is a Managing Director on the Central Wealth Advisory Team and has overseen the BakerAvenue Texas office for the last 17 years, focusing on helping clients protect and divest large concentrated company stock exposure. Before joining BakerAvenue, he spent 13 years at Fidelity Investments in Boston and Dallas, working as a Vice President and Senior Executive in various High Net Worth roles.
Scott Stephens’ longest registration is the current one, 17 years at Baker Avenue Asset Management since 2009. Before joining Baker Avenue Asset Management in 2009, Scott Stephens was registered through Fidelity Personal Trust Company, FSB and Strategic Advisers, Inc.
- Fidelity Personal Trust Company, FSB– · 5 yearsMerrimack, NH · Adviser representative · Firm CRD 109516
- Strategic Advisers, Inc.– · 7 yearsWestlake, TX · Adviser representative · Firm CRD 104555
Professional designations
Listed by Baker Avenue Asset Management
- Certified Wealth Strategist (CWS)
Investment adviser representative registrations
Scott Stephens is registered as an investment adviser representative in 2 states. The first approvals date from February 2009; the most recent is Florida, in February 2017.
- FloridaSince 23 February 2017
- TexasSince 2 February 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 April 1998 |
| Series 7 | General Securities Representative Examination | 25 August 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 October 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 26 September 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Scott Christopher Stephens
- CRD
- 2778917
- Firm
- Baker Avenue Asset Management · CRD 132657
- Role
- Managing Director / Partner
- Office
- 550 Reserve St, Ste 210, Southlake, TX 76092
- Registration
- Investment adviser registration
- In the industry since
- February 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bakerave.com
Where does Scott Stephens work?
Scott Stephens has been Managing Director / Partner of Baker Avenue Asset Management, LP since January 2014.
Is Scott Stephens a financial advisor?
Yes. Scott Stephens has a current investment-adviser registration in Florida and Texas, through Baker Avenue Asset Management since February 2009.
How many years of experience does Scott Stephens have?
Scott Stephens has 25 years in the financial industry, since February 2001, across 3 adviser firms.
What exams has Scott Stephens passed?
Scott Stephens has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in September 1996.
Where did Scott Stephens work before Baker Avenue Asset Management?
Before Baker Avenue Asset Management, Scott Stephens was registered through Fidelity Personal Trust Company, FSB, April 2001 to March 2007.
Where is Scott Stephens based?
Scott Stephens’ registered office is in Southlake, TX.
Is Scott Stephens registered with FINRA?
No. Scott Stephens has no current broker registration.
How can I verify Scott Stephens’ record?
Search CRD 2778917 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Stephens’ full registration record.
Tom NgoPresident & CEO / Partner
Gerald LuffChief Operating Officer / Partner- Gerald LuffChief Operating Officer
Michael MoranChief Compliance Officer
Simon BakerExecutive Chairman / Partner
Doug CoudenChief Investment Officer / Partner
King LipChief Strategist / Partner
Gerry OconnellPartner- Sharon SimpsonPartner
Tanya WelchPartner