Individual Firm
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KEVIN JAMES STEFFEN
CRD#: 4561532
IA
B
INDEPENDENT ADVISOR ALLIANCE, LLCCRD#: 168267 Vero Beach, FL
LPL FINANCIAL LLCCRD#: 6413 W248 N5233 EXECUTIVE DRIVE
SUITE 500
SUSSEX, WI 53089
SUITE 500
SUSSEX, WI 53089
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3/20/2014
Employment Separation After Allegations
9/4/2012
Customer Dispute
Denied
7/2/2010
Customer Dispute
Denied
State Registrations
B
Arizona 5/4/2021
B
Nevada 5/1/2023
B
Arkansas 5/4/2021
B
New Jersey 5/4/2021
B
California 5/4/2021
B
New York 5/4/2021
B
Florida 5/4/2021
B
Ohio 5/4/2021
IA
Florida 5/7/2021
B
Oregon 5/8/2023
B
Georgia 5/10/2021
B
Pennsylvania 5/4/2021
B
Idaho 4/27/2023
B
South Dakota 5/4/2021
B
Illinois 7/20/2021
B
Utah 4/27/2023
IA
Illinois 1/11/2022
B
Washington 5/4/2021
B
Indiana 7/11/2023
IA
Washington 1/10/2022
B
Michigan 5/4/2021
B
Wisconsin 5/4/2021
B
Minnesota 5/12/2021
IA
Wisconsin 5/5/2021
B
Missouri 5/5/2021
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/5/2021
B
Registered with this firm since 5/4/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/20/2014 - 05/10/2021 | MELBOURNE, FL | |
B | 03/20/2014 - 05/10/2021 | MELBOURNE, FL | |
IA | 04/12/2010 - 04/17/2014 | MILWAUKEE, WI | |
B | 04/02/2010 - 04/17/2014 | MILWAUKEE, WI | |
IA | 06/01/2009 - 04/26/2010 | MILWAUKEE, WI | |
B | 06/01/2009 - 04/26/2010 | MILWAUKEE, WI | |
IA | 12/01/2006 - 06/01/2009 | MILWAUKEE, WI | |
B | 12/01/2006 - 06/01/2009 | MILWAUKEE, WI | |
B | 09/12/2002 - 12/06/2006 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.