Stephen AlloyCRD Number: 1334901
Current Firm: Mutual Of Omaha Investor Services, Inc.
Stephen Alloy (CRD# 1334901) is an Investment Advisor Representative working at Mutual Of Omaha Investor Services, Inc. in Omaha, NE and has over 16 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Advisors, LLC
Mutual Of Omaha Investor Services, Inc.
|Mutual Of Omaha||Omaha, NE||Oct 2008 - Current||8|
|Ameritas Investment Corp||Lincoln, NE||Mar 2006 - Oct 2008||2|
|Ameritas Life Insurance Corp||Lincoln, NE||Mar 2006 - Oct 2008||2|
|Acacia Life Insurance Co||Lincoln, NE||Mar 2006 - Oct 2008||2|
|Union Central Life Insurance Co||Cincinnati, OH||Mar 2006 - Oct 2008||2|
|Bill Markve & Associates||Dakota Dunes, SD||Mar 2006 - Oct 2008||2|
|Ameritas Variable Life Insurance Co||Lincoln, NE||Mar 2006 - Apr 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2000|
|S65||NASAA Investment Advisors Law Examination||Aug 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV