Stephen R. Wallace

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CRD#: 2930654

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 Russell Wallace was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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®

None

Experience

Past

July 11, 2011 - November 12, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

SAN CARLOS, CA

Past

July 8, 2011 - November 12, 2013

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SAN CARLOS, CA

Past

January 15, 2008 - March 18, 2011

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

CUPERTINO, CA

Past

July 26, 2004 - March 18, 2011

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

CUPERTINO, CA

Past

February 5, 2003 - July 23, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

December 7, 2000 - February 5, 2003

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

May 12, 2000 - December 5, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 8, 1997 - September 7, 1999

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

August 18, 1997 - September 19, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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 66

Date: 12/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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 R. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

LPL FINANCIAL LLC

WADDELL & REED

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2003

Series 63

Date: 8/27/1997

Series 7

Date: 12/22/1997

Series 6

Date: 8/15/1997

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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