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SB

Stephen Blount

HALEY SECURITIES
Omaha, NE 68114
Some features on this profile are disabled
CRD#: 4468914
SB

Professional summary

Stephen Blount is a registered financial professional currently at HALEY SECURITIES, INC. located in Omaha, Nebraska.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 2 firms and has passed the Series 63, SIE, Series 22TO and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

Click below to view Stephen Blount's CRS (Customer Relationship Summary).
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

February 17, 2022 - Present

HALEY SECURITIES, INC.

Office #1: 8712 West Dodge Road Ste. 402, Omaha, NE 68114
BD
CRD#: 104124
Omaha, NE
Past

December 4, 2001 - December 16, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Arizona
(12/5/2022)
RR
California
(12/5/2022)
RR
Florida
(2/24/2022)
RR
Georgia
(12/5/2022)
RR
Kentucky
(12/5/2022)
RR
Louisiana
(12/5/2022)
RR
Missouri
(12/5/2022)
RR
Nevada
(12/5/2022)
RR
New York
(2/17/2022)
RR
North Carolina
(7/5/2022)
RR
Virginia
(12/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/17/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22TO
Date: 5/10/2021
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HALEY SECURITIES, INC.
HALEY LEISMAN SECURITIES, INC. | HALEY SECURITIES, INC.

CRD#: 104124 / SEC#: , 8-52622

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114
Mailing Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114
Phone number
(402) 397-0780
Established
Nebraska since 04/25/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COHOON, CHRISTINE ANGELAPRESIDENT, FINOP, CHIEF FINANCIAL OFFICER5279757
OVERLY, BRIAN JOSEPHCHIEF COMPLIANCE OFFICER, SECRETARY5264831
SHIRLEY H. OVERLY REVOCABLE TRUSTTRUST
BROWN, SHIRLEY OVERLYTRUSTEE OF THE SHIRLEY H. OVERLY REVOCABLE TRUST4391859
BROWN, SHIRLEY OVERLYDIRECTOR4391859

Disclosures

Regulatory Event1

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.

Company Information

HALEY SECURITIES, INC.

CRD#: 104124Omaha, NE 68114

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