Alan H. Stephenson

LEGACY WEALTH CONCEPTS

West Monroe, LA 71291

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CRD#: 3097099

Professional summary

Alan Hall Stephenson, who also goes by Alan Stephenson, is a registered financial advisor currently at LEGACY WEALTH CONCEPTS located in West Monroe, Louisiana and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in West Monroe, Louisiana.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Stephenson

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.) ALAN STEPHENSON INDEPENDENT INSURANCE - OWNER/AGENT - NON-VARIABLE INSURANCE - WEST MONROE, LA - SINCE 11/2013 - INVESTMENT RELATED 2.) 911 HANDYMAN LLC, DBA 911 HANDYMAN & REMODELING - CO-OWNER - HANDYMAN SERVICE - CALHOUN, LA - SINCE 06/2018 - NO INVESTMENT RELATED 3.) 1ST SOUTH HEAT AND AIR - OWNER/MANAGER - HEATING AND AIR SERVICE COMPANY - CALHOUN, LA - SINCE 08/2019 - NOT INVESTMENT RELATED 4.) LEGACY WEALTH CONCEPTS - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - WEST MONROE, LA - SINCE 12/2020 - INVESTMENT RELATED 5.) BENEDICT WEALTH MANAGMENT, LLC - REGISTERED INVESTMENT ADVISOR REPRESENTATIVE - WEST MONROE, LA - SINCE 12/2020 - INVESTMENT RELATED 6.) ALL SEASONS HVAC, LLC DBA ALL SEASONS HVAC/DBA DIRTY DUCTS DUCT CLEANING AND FILTRATION/DBA DIRTY DUCTS CHIMNEY SERVICES - OWNER/MANAGER - HEATING AND AIR SERVICE COMPANY - WEST MONROE, LA - SINCE 08/2019 - NOT INVESTMENT RELATED 7.) ALAN STEPHENSON - CONSULTANT - CONSULTING SERVICES- CALHOUN, LA - SINCE 10/2023 - NOT INVESTMENT RELATED 8.) POLYGON HEALTH - CHIEF PATIENT OFFICER/BOARD OF DIRECTORS - BOARD OF DIRECTORS/CHIEF PATIENT OFFICER - CAMBRIDGE, MA - SINCE 09/2024 - NOT INVESTMENT RELATED 9.) LEGACY CONSULTING, LLC - PRESIDENT - CONSULTING SERVICES - CALHOUN, LA - SINCE 07/2025 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Hall Stephenson's 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

December 15, 2020 - Present

LEGACY WEALTH CONCEPTS

Office #1: 216 Bell Ln Ste B, West Monroe, LA 71291

RIA

CRD#: 117422

West Monroe, LA

Current

September 23, 2002 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 216 Bell Ln Ste B, West Monroe, LA 71291

RIA

CRD#: 20804

West Monroe, LA

Past

November 21, 2006 - November 17, 2022

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

February 5, 2001 - October 10, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 5, 2001 - October 10, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 12, 1998 - February 22, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 29, 1998 - September 28, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 29, 1998 - September 28, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/2/2024)

Arkansas
(1/6/2005)

Florida
(6/11/2021)

Kansas
(1/4/2018)

Louisiana
(9/23/2002)

IAR

Louisiana
(12/15/2020)

Mississippi
(3/31/2003)

Missouri
(1/21/2020)

North Carolina
(11/6/2019)

Ohio
(2/2/2024)

Texas
(2/16/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/27/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/7/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/28/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEGACY WEALTH CONCEPTS

BENEDICT FINANCIAL PLANNING | LEGACY WEALTH CONCEPTS | BOZEMAN BENEDICT & ASSOCIATES, INC | BENEDICT WEALTH MANAGEMENT, LLC

CRD#: 117422 / SEC#:

Louisiana

Registered Investment Advisory firm - (1/31/2002 Approved)

Texas

Registered Investment Advisory firm - (8/31/2012 Conditional Restricted)

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Contact information

Main Address

17461 Jefferson Hwy. Suite B, Baton Rouge, LA 70817

Mailing Address

17461 Jefferson Hwy. Ste. B, Baton Rouge, LA 70817

Phone number

(225) 766-9506

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 64,803,879

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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Firm Stability Insights

Alan H. Stephenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Hall Stephenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/2003

Series 65

Date: 12/7/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/17/2000

Series 6

Date: 7/28/1998

Series 24

Date: 11/27/2002

FINRA

Current Firm

LEGACY WEALTH CONCEPTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY WEALTH CONCEPTS

TRUST BUT VERIFY

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