Steven P. Pezzullo

ALLIANCE-ONE INVESTMENTS

Tulsa, OK 74116

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CRD#: 2269332

Professional summary

Steven Paul Pezzullo is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, SIE, Series 7 and Series 26 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) - BD

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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

July 6, 2017 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116

CRD#: 286025

Tulsa, OK

Past

September 23, 2008 - August 11, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

WARWICK, RI

Past

December 11, 2002 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

WARWICK, RI

Past

March 19, 1997 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 19, 1997 - February 26, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WARWICK, RI

Past

February 28, 1996 - January 24, 1997

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

April 26, 1995 - December 31, 1995

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

March 10, 1994 - March 1, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 9, 1992 - January 17, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 9, 1992 - January 17, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/15/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

4000 N Mingo Rd, Tulsa, OK 74116

Mailing Address

4000 N Mingo Rd, Tulsa, OK 74116

Phone number

(918) 281-1820

Established

Delaware since 10/20/2016

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Medium

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE-ONE HOLDINGS, LLC	SOLE MEMBER
ARBO, WILLIAM CHARLES	CEO/CHIEF FINANCIAL OFFICER	1773016
TOOMEY, JAY ALAN	CHIEF COMPLIANCE OFFICER	2514959

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Steven P. Pezzullo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Paul Pezzullo's CRS (Customer Relationship Summary).

Certified licenses

Experience

METLIFE INVESTORS DISTRIBUTION COMPANY

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

CONSECO SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1992

Series 63

Date: 10/21/1992

Series 99TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/6/1992

Series 26

Date: 6/15/2007

FINRA

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

ALLIANCE-ONE INVESTMENTS, LLC

TRUST BUT VERIFY

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