Alec R. Steffen

INLAND SECURITIES

Oak Brook, IL 60523

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CRD#: 6595762

Professional summary

Alec Robert Steffen, who also goes by Alec Steffen, is a registered financial professional currently at INLAND SECURITIES CORPORATION located in Oak Brook, Illinois.

Alec is registered as a RR (Registered Representative) and started their career in finance in 2017. Alec has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alec Steffen

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 Alec Robert Steffen'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 15, 2022 - Present

INLAND SECURITIES CORPORATION

Office #1: 2901 Butterfield Road, Oak Brook, IL 60523

CRD#: 15807

Oak Brook, IL

Past

April 20, 2020 - August 2, 2021

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

RIA

CRD#: 105390

PHILADELPHIA, PA

Past

November 20, 2018 - April 20, 2020

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA

CRD#: 152237

PHILADELPHIA, PA

Past

September 24, 2018 - August 2, 2021

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

December 8, 2017 - August 27, 2018

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

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

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

Illinois
(10/13/2023)

Indiana
(10/13/2023)

Kentucky
(10/13/2023)

Michigan
(10/13/2023)

Missouri
(10/13/2023)

Ohio
(10/15/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/20/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INLAND SECURITIES CORPORATION

INCOR SECURITIES CORPORATION | INTERVEST NATIONAL SECURITIES CORPORATION | INLAND SECURITIES CORPORATION

CRD#: 15807 / SEC#: , 8-32775

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2901 Butterfield Road, Oak Brook, IL 60523

Mailing Address

2901 Butterfield Road, Oak Brook, IL 60523

Phone number

(630) 218-8000

Established

Delaware since 08/14/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INLAND REAL ESTATE INVESTMENT CORPORATION	CORPORATION
CHERESO, ANTHONY JOSEPH	DIRECTOR	5289928
HRTANEK, CATHLEEN MAY-ORBAN	DIRECTOR	7886681
KASPRZAK, DAVID EDWARD	PRINCIPAL, EXECUTIVE VICE PRESIDENT	2651202
LYNCH, CATHERINE LYNN	CHIEF FINANCIAL OFFICER & DIRECTOR	2584621
TUCEK, AMY CATHERINE	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	2021342

Disclosures

Regulatory Event

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

Alec R. Steffen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alec Robert Steffen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

DELAWARE DISTRIBUTORS, L.P.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2018

Series 63

Date: 12/14/2017

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2017

FINRA

Current Firm

INLAND SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INLAND SECURITIES CORPORATION

TRUST BUT VERIFY

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