Individual Firm
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STEPHEN ALBERT BROPHY
CRD#: 1490789
IA
B
BROPHY WEALTH MANAGEMENT, LLCCRD#: 169894 40 SOUTH RIVER ROAD
BEDFORD PLACE UNIT 15
BEDFORD, NH 03110
BEDFORD PLACE UNIT 15
BEDFORD, NH 03110
APW CAPITAL, INC.CRD#: 43814 40 SOUTH RIVER ROAD UNIT 15
BEDFORD, NH 03110
BEDFORD, NH 03110
0
Disclosures
38
Years of Experience
View By:
State Registrations
B
Arizona 10/16/2012
B
New Mexico 10/1/2024
B
California 10/16/2012
B
New York 10/16/2012
B
Connecticut 10/16/2012
B
North Carolina 10/16/2012
B
Delaware 6/6/2019
B
Ohio 10/16/2012
B
Florida 10/16/2012
B
Oregon 10/1/2024
B
Georgia 10/16/2012
B
Pennsylvania 10/16/2012
B
Illinois 10/1/2024
B
Rhode Island 10/16/2012
B
Louisiana 3/5/2021
B
Tennessee 10/16/2012
B
Maine 10/16/2012
B
Texas 10/16/2012
B
Maryland 9/21/2017
IA
Texas 12/20/2013
B
Massachusetts 10/16/2012
B
Vermont 10/16/2012
B
New Hampshire 10/16/2012
B
Virginia 10/16/2012
IA
New Hampshire 12/20/2013
B
Wisconsin 4/26/2021
SRO Registrations
B
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IA
Registered with this firm since 12/20/2013
B
Registered with this firm since 10/16/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/05/2007 - 12/31/2013 | BEDFORD, NH | |
B | 10/07/1994 - 10/17/2012 | BEDFORD, NH | |
IA | 11/05/2003 - 12/31/2007 | BEDFORD, NH | |
IA | 02/02/1998 - 10/13/2005 | BEDFORD, NH | |
B | 04/23/1986 - 10/11/1994 | MINNEAPOLIS, MN |
BEDFORD, NH
01/05/2007 - 12/31/2013
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.