Stephen Brickley has been Chief Compliance Officer of Brickley Wealth Management since June 2017, is a control person of the firm and directly owns under 5% of it. Stephen Brickley holds a Bachelor's degree from Golden Gate University.
Brickley Wealth Management is a San Mateo, CA firm with $950M under management, 196 clients and 5 advisers across 6 offices, as of its August 2026 filing.
Steve Brickley is an Investment Advisor with Brickley Wealth Management, where he provides investment advisory services using Charles Schwab & Company as custodian. He has more than 40 years of experience in the financial services industry and was previously with KPMG. Clients include retired individuals, businesses, software and biotechnology leaders, real property owners, and trust and estate beneficiaries.
Stephen Brickley’s longest registration was 17 years at LPL Financial LLC (1999–2017). Before joining Brickley Wealth Management in 2017, Stephen Brickley was registered through LPL Financial LLC.
- Brickley Wealth ManagementCurrent– present · 9 yearsAtherton, CA · Adviser representative · Firm CRD 287487
- LPL Financial LLC– · 17 yearsSan Mateo, CA · Adviser representative · Firm CRD 6413
Professional designations
Listed by Brickley Wealth Management
- Certified Public Accountant (CPA)
Investment adviser representative registrations
Stephen Brickley is registered as an investment adviser representative in 2 states. The first approvals date from July 2017; the most recent is Oregon, in March 2021.
- CaliforniaSince 18 July 2017
- OregonSince 31 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 5 June 2001 |
| Series 66 | Uniform Combined State Law Examination | 24 June 1999 |
| Series 7 | General Securities Representative Examination | 10 June 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Mark Brickley
- CRD
- 3233791
- Firm
- Brickley Wealth Management · CRD 287487
- Role
- Chief Compliance Officer
- Office
- Atherton, CA
- Registration
- Investment adviser registration
- In the industry since
- July 1999
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brickleywealth.com
Where does Stephen Brickley work?
Stephen Brickley has been Chief Compliance Officer of Brickley Wealth Management since June 2017, and is a control person of the firm.
Is Stephen Brickley a financial advisor?
Yes. Stephen Brickley has a current investment-adviser registration in California and Oregon, through Brickley Wealth Management since July 2017.
How many years of experience does Stephen Brickley have?
Stephen Brickley has 27 years in the financial industry, since July 1999, across 2 adviser firms.
What exams has Stephen Brickley passed?
Stephen Brickley has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in June 1999. FINRA credited Stephen Brickley with the SIE, which began in October 2018.
Where did Stephen Brickley work before Brickley Wealth Management?
Before Brickley Wealth Management, Stephen Brickley was registered through LPL Financial LLC, July 1999 to June 2017.
Where is Stephen Brickley based?
Stephen Brickley’s registered office is in Atherton, CA.
Is Stephen Brickley registered with FINRA?
No. Stephen Brickley has no current broker registration.
How can I verify Stephen Brickley’s record?
Search CRD 3233791 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Brickley’s full registration record.