SJ
Steven E. Jolley
THE ASCENT GROUP
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5276989
SJ
Professional summary
Steven Eric Jolley, who also goes by Steve Eric Jolley, is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Wayne, Pennsylvania and ALERA INVESTMENT ADVISORS, LLC located in Wayne, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Eric Jolley
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)Alera Group,Inc;investment related;3 Parkway N,Deerfield,IL 60015;employed by Alera Group;associate;1/2/2023;160 hrs/month;130 hrs during trading;continue to act as a RR,IAR,and insurance agent as applicable to continue serving my existing clients as well as new clients 2)The Ascent Group;investment related;5029 Corporate Woods Drive,Suite 200,Virginia Beach,VA 23462;SEC registered RIA;investment advisor representative;5/15/2021;160 hrs/month;130 hrs during trading;provide investment advice to clients in return for an advisory fee 3)Fixed insurance-multiple carriers;investment related;119 W Wayne Ave,Wayne,PA 19087;licensed as an independent insurance agent for the purpose of selling fixed insurance products;broker;6/4/2012;160 hrs/month;130 hrs during trading;sell fixed insurance products 4)Red Bull New York;not investment related;600 Cape May St,Harrison,NJ 07029;game radio color analyst for their radio network;radio analyst;4/1/2015;10 hrs/month;0 hrs during trading;radio personality for games for Red Bull NY in Major League Soccer, provide commentary 5)Walsh & Nicholson Financial Group;investment related;119 W Wayne Ave,Wayne,PA 19087;licensed as an independent insurance agent for the purpose of selling fixed insurance products;EVP,senior advisor;6/1/2012;160 hrs/month;130 hrs during trading;dba marketing name 6)Major League Soccer;not investment related;420 Fifth Ave,7th Floor,New York,NY 10018;matchday evaluator for Major League Soccer games;matchday evaluator;6/1/2012;4 hrs/month;0 hrs during trading;provide game analysis for Major League Soccer/league office 7)Youth Soccer Coach;not investment related;112 Lowrys Ln,Bryn Mawr,PA 19010;youth soccer coach with limited responsibilities;youth soccer coach;8/21/2021;4 hrs/month;0 hrs during trading;youth soccer coach for local soccer club,Radnor Soccer Club
CRS (Client Relationship Summary) - RIA
Click below to view Steven Eric Jolley'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®
NoneExperience
Current
May 14, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 119 W. Wayne Ave, Wayne, PA 19087RIA
CRD#: 314424
Wayne, PA
Current
May 20, 2024 - Present
ALERA INVESTMENT ADVISORS, LLC
Office #1: 119 W. Wayne Ave, Wayne, PA 19087RIA
CRD#: 287906
Wayne, PA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 119 West Wayne Avenue, Wayne, PA 19087RIA
BD
CRD#: 23131
Wayne, PA
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Wayne, PA
Past
July 27, 2012 - November 5, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
WAYNE, PA
Past
June 27, 2012 - January 24, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WAYNE, PA
Past
May 8, 2007 - April 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 13, 2007 - April 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 Approved)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.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
Alabama(8/23/2024)
RR
Arkansas(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Delaware(8/23/2024)
RR
Florida(8/23/2024)
RR
Illinois(8/23/2024)
RR
Minnesota(8/23/2024)
RR
New Jersey(8/23/2024)
RR
North Carolina(8/23/2024)
IAR
Pennsylvania(5/14/2021)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Texas(8/23/2024)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
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.
