Stephen Blount
Professional Summary
Stephen Blount is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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OSAIC WEALTH, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
HALEY LEISMAN SECURITIES, INC. | HALEY SECURITIES, INC.
Contact Information
Main Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114Mailing Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114Phone Number
(402) 397-0780Established
Nebraska since 04/25/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (41 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COHOON, CHRISTINE ANGELA | PRESIDENT, FINOP, CHIEF FINANCIAL OFFICER | 5279757 |
| OVERLY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER, SECRETARY | 5264831 |
| SHIRLEY H. OVERLY REVOCABLE TRUST | TRUST | — |
| BROWN, SHIRLEY OVERLY | TRUSTEE OF THE SHIRLEY H. OVERLY REVOCABLE TRUST | 4391859 |
| BROWN, SHIRLEY OVERLY | DIRECTOR | 4391859 |
Disclosures
Regulatory Event
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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.
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OSAIC WEALTH, INC.
State Registrations and Notice Filings
(12/5/2022)
(2/24/2022)
(12/5/2022)
(1/5/2026)
(12/5/2022)
(12/5/2022)
(12/5/2022)
(2/17/2022)
(7/5/2022)
(12/5/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed May 2021About the Series 22TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2001About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Blount's CRS (Customer Relationship Summary).
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