Steven E. Halvorsen

MONTICELLO ASSOCIATES

DENVER, CO 80202

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CRD#: 2124404

Professional summary

Steven Erik Halvorsen is a registered financial advisor currently at MONTICELLO ASSOCIATES, LLC located in Denver, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Steven has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 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 Erik Halvorsen'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 1, 1999 - Present

MONTICELLO ASSOCIATES, LLC

Office #1: 1800 Larimer Street Suite 2100, Denver, CO 80202

RIA

CRD#: 107392

DENVER, CO

Past

February 25, 1992 - June 23, 1995

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

April 18, 1991 - October 23, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

MONTICELLO ASSOCIATES, LLC

MONTICELLO ASSOCIATES INC | MONTICELLO ASSOCIATES, LLC

CRD#: 107392 / SEC#: 801-51758

RIA

Registered Investment Advisory firm - (4/18/1996 Approved)

North Carolina

Registered Investment Advisory firm - (4/1/2019 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.

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

Colorado
(1/1/1999)

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: 9/3/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/1991

General Securities Representative Examination

Current Firm

MONTICELLO ASSOCIATES, LLC

MONTICELLO ASSOCIATES INC | MONTICELLO ASSOCIATES, LLC

CRD#: 107392 / SEC#: 801-51758

RIA

Registered Investment Advisory firm - (4/18/1996 Approved)

North Carolina

Registered Investment Advisory firm - (4/1/2019 Terminated)

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Contact information

Main Address

1800 Larimer Street Suite 2100, Denver, CO 80202

Mailing Address

Phone number

(303) 572-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MONTICELLO ASSOCIATES, LLC (10/27/2025)

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 E. Halvorsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Erik Halvorsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONTICELLO ASSOCIATES, LLC

PORTFOLIO BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

MONTICELLO ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/1992

Series 63

Date: 4/16/1992

Series 7

Date: 3/20/1991

Current Firm

MONTICELLO ASSOCIATES, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MONTICELLO ASSOCIATES, LLC

TRUST BUT VERIFY

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