Stephen E. Alloy

PACIFIC SELECT DISTRIBUTORS

Newport Beach, CA 92660

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CRD#: 1334901

Professional summary

Stephen Elliot Alloy, who also goes by Steve Alloy, is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1985. Stephen has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Alloy

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.

1. LICENSED ATTORNEY IN THE STATE OF ILLINOIS. NOT PRACTICING BEYOND MY CURRENT WORK FOR MOO. 2. RENEWAL & ONGOING COMMISSIONS FROM PREV SALES OF FIXED ANNUITY PRODUCTS W/MIDLAND NAT'L INS CO. SALES OCCURRED WHEN I WAS AN INDEPENDENT ADVISOR & CURRENT COMMISSIONS TOTAL BETWEEN $500 & $1000 FOR YEAR 2008. AMT WILL DECREASE W/TIME. 3. Board member for a 501(c)(3) called Big Canvas, which operates a comedy club and sponsors private comedy shows. I do not handle money or investing for them.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Elliot Alloy'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

June 26, 2025 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 700 Newport Center Drive, Newport Beach, CA 92660

CRD#: 4452

Newport Beach, CA

Past

July 2, 2009 - December 19, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

OMAHA, NE

Past

November 4, 2008 - December 19, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

February 29, 2008 - October 30, 2008

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

DAKOTA DUNES, SD

Past

March 21, 2006 - October 30, 2008

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

DAKOTA DUNES, SD

Past

September 22, 2005 - March 8, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ROSEMONT, IL

Past

June 14, 2005 - March 8, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 23, 2004 - May 20, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

March 19, 2003 - December 12, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

May 20, 2002 - March 18, 2003

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 18, 2001 - May 10, 2002

RE-DIRECT SECURITIES CORP

CRD#: 35518

VILLA PARK, IL

Past

December 8, 2000 - June 15, 2001

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

September 3, 1987 - August 2, 1988

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

December 19, 1986 - August 6, 1987

MESIROW INVESTMENT SERVICES, INC.

CRD#: 15113

Past

November 26, 1986 - January 7, 1987

MESIROW FINANCIAL, INC.

CRD#: 2764

Past

January 23, 1985 - December 4, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nebraska
(6/26/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2000

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 3/1/1985

National Commodity Futures Examination

Principal/Supervisory Exam

Series 26

Date: 9/28/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452 / SEC#: , 8-15264

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

700 Newport Center Drive, Newport Beach, CA 92660-6397

Mailing Address

700 Newport Center Drive, Newport Beach, CA 92660-6397

Phone number

(949) 219-6579

Established

Delaware since 01/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PACIFIC LIFE INSURANCE COMPANY	PARENT OF APPLICANT
DARE, BARBARA ALYCE	VICE PRESIDENT	5074108
KISSEL, GEOFFREY P	CHIEF EXECUTIVE OFFICER	7499710
LA ROQUE, SUZANNE MARIE	ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	4222767
SMITH, TREVOR TIMOTHY	VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER	4844953
YAMAUCHI, STARLA CHIN	VICE PRESIDENT, CORPORATE SECRETARY	7721024

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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Advisor Monitoring

Firm Stability Insights

Stephen E. Alloy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Elliot Alloy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

LOCUST STREET SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

RE-DIRECT SECURITIES CORP

1717 CAPITAL MANAGEMENT COMPANY

INVEST FINANCIAL CORPORATION

MESIROW INVESTMENT SERVICES, INC.

MESIROW FINANCIAL, INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2005

Series 63

Date: 12/14/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2002

Series 6

Date: 12/7/2000

Series 3

Date: 3/1/1985

Series 26

Date: 9/28/2005

FINRA

Current Firm

PACIFIC SELECT DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PACIFIC SELECT DISTRIBUTORS, LLC

TRUST BUT VERIFY

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