Stephen A. Mace

Some features on this profile are disabled

CRD#: 1777748

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Alan Mace, CFP® was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Past

December 13, 2016 - April 28, 2020

ACR ALPINE CAPITAL RESEARCH, LLC

RIA

CRD#: 110933

ST. LOUIS, MO

Past

December 6, 2006 - June 13, 2016

KENNEDY CAPITAL MANAGEMENT

RIA

CRD#: 105834

ST. LOUIS, MO

Past

July 11, 2005 - March 27, 2006

FORTE SECURITIES LLC

CRD#: 38373

NEW YORK, NY

Past

June 22, 2001 - July 21, 2003

AMERICAN SECURITIES GROUP, INC.

CRD#: 43730

CHARLOTTE, NC

Past

April 27, 2001 - October 1, 2008

PRAETORIAN GUARD, A DIVISION OF CENTURION ALLIANCE, INC.

RIA

CRD#: 110036

CARMEL, CA

Past

February 28, 1994 - September 29, 2000

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

CRD#: 27884

SAN MATEO, CA

Past

April 19, 1989 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

April 19, 1989 - February 2, 1994

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

October 3, 1988 - April 21, 1989

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

February 23, 1988 - October 4, 1988

DOMIK CORP.

CRD#: 223

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".

ACR ALPINE CAPITAL RESEARCH, LLC

ACR ALPINE CAPITAL RESEARCH, LLC | ALPINE PRIVATE CAPITAL | ALPINE INVESTMENT MANAGEMENT,LLC | ACR ALPINE CAPTIAL RESEARCH

CRD#: 110933 / SEC#: 801-60694

RIA

Registered Investment Advisory firm - (11/13/2001 Approved)

Indiana

Registered Investment Advisory firm - (9/28/2002 Terminated)

Missouri

Registered Investment Advisory firm - (11/13/2001 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Current Firm

ACR ALPINE CAPITAL RESEARCH, LLC

ACR ALPINE CAPITAL RESEARCH, LLC | ALPINE PRIVATE CAPITAL | ALPINE INVESTMENT MANAGEMENT,LLC | ACR ALPINE CAPTIAL RESEARCH

CRD#: 110933 / SEC#: 801-60694

RIA

Registered Investment Advisory firm - (11/13/2001 Approved)

Indiana

Registered Investment Advisory firm - (9/28/2002 Terminated)

Missouri

Registered Investment Advisory firm - (11/13/2001 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2001 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

190 Carondelet Plaza Suite 1300, St. Louis, MO 63105

Mailing Address

Phone number

(314) 932-7600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACR ADV PART 2A - MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6,394
AUM (Assets Under Management)	$ 8,511,877,560

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen A. Mace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KENNEDY CAPITAL MANAGEMENT

FORTE SECURITIES LLC

AMERICAN SECURITIES GROUP, INC.

PRAETORIAN GUARD, A DIVISION OF CENTURION ALLIANCE, INC.

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

HOME LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

DOMINICK & DICKERMAN LLC

DOMIK CORP.

Primary Firm SEC Registration

ACR ALPINE CAPITAL RESEARCH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/1994

Series 63

Date: 5/9/1988

Series 7

Date: 2/20/1988

Current Firm

ACR ALPINE CAPITAL RESEARCH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ACR ALPINE CAPITAL RESEARCH, LLC

TRUST BUT VERIFY

Similar Advisors