Steven J. Ismael

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CRD#: 5014090

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.

Steven Joseph Ismael was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2006. Steven had worked at 6 firms and has passed the Series 66, SIE and Series 7 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

August 30, 2016 - March 15, 2018

INDEX FUND ADVISORS, INC.

RIA

CRD#: 109143

IRVINE, CA

Past

December 8, 2014 - January 22, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SEAL BEACH, CA

Past

April 9, 2014 - December 2, 2014

SCOTTRADE, INC.

CRD#: 8206

NEWPORT BEACH, CA

Past

August 13, 2013 - January 17, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

August 9, 2013 - January 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

May 16, 2013 - July 17, 2013

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

IRVINE, CA

Past

April 14, 2008 - July 17, 2013

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

IRVINE, CA

Past

January 1, 2006 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

IRVINE, CA

Past

January 1, 2006 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

IRVINE, CA

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".

INDEX FUND ADVISORS, INC.

CRD#: 109143 / SEC#: 801-57978

RIA

Registered Investment Advisory firm - (9/28/2000 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: 12/12/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2005

General Securities Representative Examination

Current Firm

INDEX FUND ADVISORS, INC.

CRD#: 109143 / SEC#: 801-57978

RIA

Registered Investment Advisory firm - (9/28/2000 Approved)

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Contact information

Main Address

19200 Von Karman Ave Suite 150, Irvine, CA 92612-6566

Mailing Address

Phone number

(949) 502-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INDEX FUND ADVISORS FORM ADV PART 2A 10.08.2025 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	7,146
AUM (Assets Under Management)	$ 5,329,171,931

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

Steven J. Ismael

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

SCOTTRADE, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

INDEX FUND ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2005

SIE

Date: 1/22/2016

Series 7

Date: 12/28/2005

Current Firm

INDEX FUND ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEX FUND ADVISORS, INC.

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