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AS

Alan L. Stiffelman

CONSOLIDATED FINANCIAL INVESTMENTS
Clayton, MO 63105-3702
Some features on this profile are disabled
CRD#: 1351661
AS

Professional summary

Alan Louis Stiffelman is a registered financial professional currently at CONSOLIDATED FINANCIAL INVESTMENTS, INC. located in Clayton, Missouri.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1985. Alan has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Alan Louis Stiffelman'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

September 8, 1988 - Present

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

Office #1: 222 North Meramec Avenue, Clayton, MO 63105-3702Office #2: 222 North Meramec Ave., Clayton, MO 63105-3702
BD
CRD#: 18810
Clayton, MO
Past

May 6, 1986 - June 21, 1988

OAKBRIDGE FINANCIAL SERVICES

BD
CRD#: 16323
Past

April 24, 1985 - April 7, 1986

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(9/10/1992)
RR
California
(5/27/1993)
RR
Colorado
(2/16/1989)
RR
Connecticut
(4/3/1990)
RR
Florida
(4/7/1989)
RR
Illinois
(9/8/1988)
RR
Indiana
(3/6/1991)
RR
Kansas
(1/25/1994)
RR
Massachusetts
(10/9/1992)
RR
Missouri
(11/7/1988)
RR
New York
(7/26/1990)
RR
Ohio
(11/8/1993)
RR
Texas
(3/20/1990)
RR
Virginia
(9/13/2016)
RR
Washington
(1/6/1995)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/21/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CONSOLIDATED FINANCIAL INVESTMENTS, INC.
CONSOLIDATED FINANCIAL INVESTMENTS, INC. | USA MORTGAGE SECURITIES, INC.

CRD#: 18810 / SEC#: , 8-37004

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Mailing Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Phone number
(314) 727-1177
Established
Missouri since 10/12/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STIFFELMAN, ALAN LOUISCHIEF COMPLIANCE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD1351661
MCCORMICK, JOSEPH ASHAREHOLDER
EVENS, RONALD GENESHAREHOLDER
BARDENHEIER, CARL CHRISTOPHER JRVICE PRESIDENT AND SECRETARY1138381

Disclosures

Regulatory Event3

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.

Company Information

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

CRD#: 18810Clayton, MO 63105-3702

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