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SM

Stephen A. Mallery

MALLERY FINANCIAL
Eugene, OR
Some features on this profile are disabled
CRD#: 4720177
SM

Professional summary

Stephen Arthur Mallery, AIF® is a registered financial advisor currently at MALLERY FINANCIAL located in Eugene, Oregon.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Stephen Arthur Mallery'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

November 17, 2020 - Present

MALLERY FINANCIAL

RIA
CRD#: 310425
Eugene, OR
Past

August 2, 2013 - October 21, 2020

KMS FINANCIAL SERVICES, INC.

RIA
CRD#: 3866
EUGENE, OR
Past

August 2, 2013 - October 21, 2020

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
EUGENE, OR
Past

May 10, 2011 - August 7, 2013

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
EUGENE, OR
Past

September 13, 2010 - August 7, 2013

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
EUGENE, OR
Past

April 8, 2004 - July 7, 2010

NYLIFE SECURITIES LLC

BD
CRD#: 5167
EUGENE, OR

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.

Highlighted states indicate IAR registrations

IAR
Oregon
(11/17/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/29/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/14/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/7/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MF
MALLERY FINANCIAL
MALLERY FINANCIAL | MALLERY FINANCIAL LLC

CRD#: 310425 / SEC#:

Oregon
Registered Investment Advisory firm - (11/17/2020 Approved)
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Contact information

Main Address
Eugene, OR
Mailing Address
Phone number
(541) 687-7678
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts312
AUM (Assets Under Management)$ 33,602,610

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MALLERY FINANCIAL

CRD#: 310425Eugene, OR

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