Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Elliot Alloy is a financial advisor registered with Mutual of Omaha Investor Services, Inc. Stephen has been working in the financial industry since 1997. Stephen is licensed in Nebraska as an investment advisor representative. Stephen has been registered with Mutual of Omaha Investor Services, Inc. since 2009. Prior to that, Stephen was registered with several other firms, including Ameritas Investment Corp., Pruco Securities, LLC., NYLIFE Securities Inc., Locust Street Securities, Inc., 1717 Capital Management Company, and Re-Direct Securities Corp. Stephen has experience in providing financial planning and portfolio management services to individuals and families. Stephen is also a licensed attorney in the state of Illinois. Stephen is a member of the Big Canvas board of directors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Promoter fees and third party money manager fees
1
2
NE
07/02/2009 - Present
Mutual OF Omaha Investor Services, Inc. (OMAHA NE)
SD
03/21/2006 - 10/30/2008
AMERITAS INVESTMENT CORP. (DAKOTA DUNES SD)
NJ
06/14/2005 - 03/08/2006
PRUCO SECURITIES, LLC. (NEWARK NJ)
NY
01/23/2004 - 05/20/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
03/19/2003 - 12/12/2003
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
DE
05/20/2002 - 03/18/2003
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
IL
06/18/2001 - 05/10/2002
RE-DIRECT SECURITIES CORP (VILLA PARK IL)
DE
12/08/2000 - 06/15/2001
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NA
09/03/1987 - 08/02/1988
ISFA CORPORATION
NA
12/19/1986 - 08/06/1987
MESIROW BROKERAGE SERVICES, INC.
NA
11/26/1986 - 01/07/1987
PEMBROKE CLEARING CORPORATION
NA
01/23/1985 - 12/04/1986
E. F. HUTTON & COMPANY INC
IA
Issued 08/08/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2002
Series 7 - General Securities Representative Examination
BC
Issued 12/07/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/01/1985
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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