Stephen L. Reinhardt
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 Lee Reinhardt was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2019 - December 15, 2023
ALLY INVEST ADVISORS
August 7, 2019 - December 15, 2023
ALLY INVEST SECURITIES LLC
May 23, 2018 - April 10, 2019
MML INVESTORS SERVICES, LLC
May 21, 2018 - April 10, 2019
MML INVESTORS SERVICES, LLC
March 20, 2009 - May 17, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
June 17, 2008 - March 30, 2017
LPL FINANCIAL LLC
June 17, 2008 - March 30, 2017
LPL FINANCIAL LLC
April 18, 2005 - May 28, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
July 23, 2004 - May 28, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
August 2, 2001 - July 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 24, 1998 - July 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 21, 1995 - April 28, 1998
VANGUARD MARKETING CORPORATION
December 13, 1993 - September 28, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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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