Steven J. Alley

ALLEY COMPANY

Lake Forest, IL 60045

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CRD#: 1197753

Professional summary

Steven James Alley is a registered financial advisor currently at ALLEY COMPANY located in Lake Forest, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Alley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2022 - Present

ALLEY COMPANY

Office #1: 272 Market Square Suite 214, Lake Forest, IL 60045

RIA

CRD#: 317544

Lake Forest, IL

Past

February 14, 2014 - January 3, 2022

ALLEY COMPANY, LLC

RIA

CRD#: 112702

LAKE FOREST, IL

Past

August 22, 1986 - January 30, 1998

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 25, 1983 - August 20, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 19, 1983 - June 4, 1984

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLEY COMPANY

ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/10/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ALLEY COMPANY

ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

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Contact information

Main Address

272 Market Square Suite 214, Lake Forest, IL 60045

Mailing Address

Phone number

(847) 482-0938

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEY INVESTMENT MANAGEMENT COMPANY, LLC PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	455
AUM (Assets Under Management)	$ 843,699,361

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/27/2024	Cover Page	Report
10/30/2023	Cover Page	Report
10/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven J. Alley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Alley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEY COMPANY, LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

Primary Firm SEC Registration

ALLEY COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/1998

Series 63

Date: 10/8/1990

Series 7

Date: 10/15/1983

Series 8

Date: 9/10/1992

Current Firm

ALLEY COMPANY

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLEY COMPANY

TRUST BUT VERIFY

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