Stephen D. Alison
Professional summary
Stephen Dauler Alison MR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Stephen had worked at 7 firms, which includes ALISON LLC, KMS FINANCIAL SERVICES INC., ROEHL & YI INVESTMENT ADVISORS LLC, WALNUT STREET SECURITIES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2004 - December 31, 2014
ALISON, LLC
October 8, 2004 - December 12, 2014
KMS FINANCIAL SERVICES, INC.
October 1, 2004 - December 12, 2014
KMS FINANCIAL SERVICES, INC.
June 9, 2004 - October 8, 2004
ROEHL & YI INVESTMENT ADVISORS, LLC
September 10, 1997 - October 8, 2004
WALNUT STREET SECURITIES, INC.
November 16, 1989 - December 12, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 16, 1989 - December 12, 1996
OSAIC FA, INC.
August 25, 1986 - December 7, 1989
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALISON, LLC
CRD#: 132569 / SEC#: 801-63466
Contact information
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.
