Role at Corient Private Wealth
- Title on Schedule A
- Chief Compliance Officer
- Control
- Stephen Estep is a control person of Corient Private Wealth.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Stephen Estep has held the filed role since August 2023.
The firm
Form ADV filed 21 August 2026
Career on record
Stephen Estep has been registered through Corient Private Wealth since August 2023, and before that through E*trade Capital Management, LLC and Stifel, Nicolaus & Company, Incorporated.
- Passed Series 57TO and Series 99TO · 2023
- Passed SIE · 2018
- E*trade Capital Management, LLC– · 8 yearsPurchase, NY · Adviser representative · Firm CRD 42159
- Stifel, Nicolaus & Company, Incorporated– · 7 yearsSt. Louis, MO · Adviser representative · Firm CRD 793
- Passed Series 65 · 2008
- Passed Series 14 and Series 24 · 2005
- Passed Series 27 · 2003
- Passed Series 7 and Series 63 · 2001
Registrations and exams
Stephen Estep has a current investment-adviser registration in Florida and has passed 9 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 11 July 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 June 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 March 2001 |
| Series 24 | General Securities Principal Examination | 5 December 2005 |
| Series 14 | Compliance Officer Examination | 28 November 2005 |
| Series 27 | Financial and Operations Principal Examination | 27 January 2003 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 8 February 2001 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Compliance Officer Examination
- Name
- Financial and Operations Principal Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Stephen Chad Estep
- CRD
- 4158295
- Registration status
- Investment adviser registration
- Office
- 830 BRICKELL PLAZA, SUITE 4800, Miami, FL 33131
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 Stephen Estep work?
Stephen Estep has been Chief Compliance Officer of Corient Private Wealth LP since August 2023, and is a control person of the firm.
Is Stephen Estep a financial advisor?
Yes. Stephen Estep has a current investment-adviser registration in Florida, through Corient Private Wealth since August 2023, as of 17 October 2026.
How many years of experience does Stephen Estep have?
Stephen Estep has worked in the financial industry for 23 years as of 17 October 2026, counted from 9 December 2002, across 3 adviser firms.
What exams has Stephen Estep passed?
Stephen Estep has passed 9 licensing exams: the Series 7, Series 63, Series 27, Series 14, Series 24, Series 65, SIE, Series 57TO and Series 99TO. The earliest, the Series 7, was passed in February 2001.
Where did Stephen Estep work before Corient Private Wealth?
Before Corient Private Wealth, Stephen Estep was registered through E*trade Capital Management, LLC, May 2015 to May 2023; Stifel, Nicolaus & Company, Incorporated, June 2008 to May 2015.
Where is Stephen Estep based?
Stephen Estep’s registered office is in Miami, FL.
Leadership at Corient Private Wealth
- Kurt MacalpineChief Executive Officer
- Francisco Tobias MarinChief Financial Officer
- Leonard GullanChief Operating Officer
- Scott AkinsGeneral Counsel
- Alexander EpplerHead of Client Operations
- Darren HendersonHead of US Wealth Advisory
- Andrew HolmbergHead of Solutions
- Julie SilcoxChief Marketing Officer
- Peter WatsonHead of Alternatives