Stephen N. Almond

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CRD#: 2268677

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 Neal Almond was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 50, Series 7 and Series 24 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.

1) ALMOND MANAGEMENT, LLC. 586 CURVATURA, NEW BRAUNFELS, TX 8132: NOT INVESTMENT RELATED: NATURE OF BUSINESS, PROTEST PERSONAL ASSETS, RUN COMMISSION CHECKS COLLECT AND PAY TAXES: POSITION, PRESIDENT: START DATE 08/2005: 4 HOURS PER MONTH: DESCRIPTION OF DUTIES, PAY EXPENSES, DEPOSIT SEP/IRA FOR MYSELF. 2) ARBITRAGE MANAGEMENT GROUP; 586 CURVATURA, NEW BRAUNFELS, TX 78132: YES, INVESTMENT RELATED: NATURE OF BUSINESS, SECURITIES SALES TO CLIENTS WITH TAX EXEMPT STATUS-OUTSTANDING DEBT: POSITION, MANAGER: START DATE 08/2005; DEVOTE APPX 40 HOURS PER WEEK DURING TRADING HOURS; DESCRIPTION: DBA OF MUNICIPAL ADVISORY ACTIVITIES. 3) Institutional Bond Network; Investment-Related; New Braunfels, TX; Broker Dealer; Registered Representative; 9/2020; 120+ hrs/mo; 120+ hrs/mo during securities trading hours; Duties are registered representative capacity.

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®

None

Experience

Past

July 5, 2022 - October 12, 2022

IBN ASSET MANAGEMENT, LLC

RIA

CRD#: 290114

New Braunfels, TX

Past

September 30, 2020 - October 12, 2022

INSTITUTIONAL BOND NETWORK, LLC

CRD#: 187515

THOUSAND OAKS, CA

Past

January 25, 2016 - October 1, 2020

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

NEW BRAUNFELS, TX

Past

January 25, 2016 - October 1, 2020

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

NEW BRAUNFELS, TX

Past

August 16, 2005 - January 26, 2016

STONEX SECURITIES INC.

CRD#: 18456

AUSTIN, TX

Past

August 8, 2005 - August 16, 2005

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

March 11, 2005 - January 26, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

October 25, 2004 - August 16, 2005

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

AUSTIN, TX

Past

October 25, 2004 - August 16, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

February 26, 2004 - October 27, 2004

RYAN BECK & CO.

RIA

CRD#: 3248

AUSTIN, TX

Past

October 19, 2001 - October 27, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

February 9, 2001 - October 29, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 19, 1992 - February 16, 2001

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

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".

IBN ASSET MANAGEMENT, LLC

CRD#: 290114 / SEC#: 801-118749

RIA

Registered Investment Advisory firm - (5/18/2020 Approved)

California

Registered Investment Advisory firm - (4/21/2021 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: 7/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 3/3/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 8/18/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/1999

General Securities Principal Examination

Current Firm

IBN ASSET MANAGEMENT, LLC

CRD#: 290114 / SEC#: 801-118749

RIA

Registered Investment Advisory firm - (5/18/2020 Approved)

California

Registered Investment Advisory firm - (4/21/2021 Terminated)

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Contact information

Main Address

463 Pennsfield Place Suite 201, Thousand Oaks, CA 91360

Mailing Address

Phone number

(805) 277-4738

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

IBN ASSET MANAGEMENT 2025 ANNUAL AMENDED ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 485,424,509

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 N. Almond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSTITUTIONAL BOND NETWORK, LLC

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

STONEX SECURITIES INC.

STONEX SECURITIES INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

STERNE, AGEE & LEACH, INC.

RYAN BECK & CO.

RYAN BECK & CO.

JOSEPHTHAL & CO., INC.

MARION BASS SECURITIES CORPORATION

Primary Firm SEC Registration

IBN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/1998

Series 63

Date: 8/27/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 3/3/2017

Series 7

Date: 8/18/1992

Series 24

Date: 9/30/1999

Current Firm

IBN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IBN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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