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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Brian Jeffrey Stephens

Advisor at RUBICON ADVISORS

REDDING, CA

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Search this name across graphsid dfx:ria:1140d4a2-c7d3-3b39-3ed4-c919b4033a9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 20, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RUBICON ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 19, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 19, 2007
First registration: Feb 20, 2007
Dual registered: yes, broker-dealer
Other names: BRIAN STEPHENS|BRIAN JEFFREY STEPHENS
IAPD individual key: 5196738

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RUBICON ADVISORS	Independent wealth	Jul 28, 2016	n/a	yes	REDDING, CA	Current employment
EDWARD JONES	National bd RIA	Feb 25, 2011	Jul 29, 2016	no	REDDING, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 12, 2010	Feb 28, 2011	no	REDDING,, CA\|REDDING, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 20, 2007	Mar 3, 2010	no	REDDING, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDWARD JONES	RUBICON ADVISORS	Jul 29, 2016	Jul 28, 2016	-1	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	EDWARD JONES	Feb 28, 2011	Feb 25, 2011	-3	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Mar 3, 2010	Mar 12, 2010	9	Firm change	Other

Relationships

Registered with (4)

→ RUBICON ADVISORSRegistered adviserregistration: current employment
Jul 28, 2016 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 25, 2011 to Jul 29, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 12, 2010 to Feb 28, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 20, 2007 to Mar 3, 2010factForm ADV

Dated events

No dated event names this entity yet.