Steven M Dalton

Current Employers

Employment History

• 10/2012 → 11/2018
  Comprehensive Asset Management & Servicing, Inc.
  Parsippany, NJ
• 01/2013 → 11/2018
  Brophy Wealth Management, Llc
  Bedford, NH
• 11/2018 → 04/2024
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 11/2018 → 04/2024
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 04/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 04/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 06/2018 → Present
  Magnolia Wealth Advisors Llc
  Bedford, NH

Previous Registrations

• 2018-11-12 → 2024-06-26
  Cambridge Investment Research Advisors, Inc.
  Bedford, NH
  Sahuarita, AZ
• 2013-12-20 → 2018-11-29
  Brophy Wealth Management, Llc
  Bedford, NH
• 2009-05-28 → 2013-12-31
  Brophy Wealth Management, Llc
  Bedford, NH

Other Businesses

1. NAME OF OTHER BUSINESS: MARY GALE FOUNDATION INVESTMENT RELATED: NO ADDRESS: 22 CONCORD ST, FLOOR 4, MANCHESTER, NH 03101 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: OPERATIONAL SUPPORT WITH ONGOING MISSION OF MARY GALE FOUNDATION TO PROVIDE FINANCIAL ASSISTANCE FOR ELDERLY WOMEN IN MANCHESTER NH. THIS INCLUDES GRANT APPROVALS TO NON-PROFIT ORGANIZATIONS; 2. NAME OF OTHER BUSINESS: MAGNOLIA WEALTH ADVISORS LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S CORP FOR TAX FILING PURPOSES START DATE: 6/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: THIS LLC IS AN S CORP FOR TAX PURPOSES ONLY;

Exams

• S66 Uniform Combined State Law Examination
  2008-11-01
• S63 Uniform Securities Agent State Law Examination
  2008-09-13

Designations

Other Names

• Steve Dalton