Stephen Thomas Mcelroy

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 12/2022
  Alpha Financial Planning, Inc.
  Dublin, OH
• 12/2022 → 12/2022
  Ameriprise Financial Services
  Dublin, OH
• 03/2020 → 03/2020
  Ameriprise Financial Services, Llc
  Dublin, OH
• 12/2022 → Present
  Ameriprise Financial Services, Llc.
  Dublin, OH

Previous Registrations

• 2015-07-22 → 2023-01-17
  Alpha Financial Planning, Inc.
  Dublin, OH
• 2012-06-15 → 2015-10-01
  Stratos Wealth Partners, Ltd
  Columbus, OH
• 2010-09-03 → 2012-06-12
  The Huntington Investment Company
  Dublin, OH
  Columbus, OH
• 2008-07-11 → 2010-09-16
  Mercer Global Advisors Inc.
  Dublin, OH
• 2001-04-02 → 2008-07-10
  Mercer Advisors
  Dublin, OH

Other Businesses

Real Estate Ownership; Commercial; 6241 Riverside Drive, , Dublin, OH, 43017; Not Investment-Related; 12/01/2017. Independent Insurance Brokering; Gleaner Life Insurance; 05/15/2026; Fixed Annuity, Term Life, Universal Life, Whole Life. Business Ownership; Man on the Moon, LLC; Owner; Manage Ameriprise Business; 6241 Riverside Dr, Suite 1S, Dublin, OH, 43017; Investment-Related; 10/01/2012; 10 to 19 hours per month; 1 to 9 during trading hours / R&M Real Properties; Manage the Property and Collect Rents; Property Mgmt. for the building; 6241 Riverside Dr., , Dublin, OH, 43017; Not Investment-Related; 12/10/2018; 1 to 9 hours per month; 1 to 9 during trading hours / McSwearingen Farms, LLC; Owner; Cattle Farm; 1105 Rix Mills Rd, , New Concord, OH, 43762; Not Investment-Related; 09/20/2023; 10 to 19 hours per month; 1 to 9 during trading hours / Alpha Financial, LLC; Owner; Manage Ameriprise Business; 6241 Riverside Dr., , Dublin, OH, 43017; Investment-Related; 04/01/2026; 10 to 19 hours per month; 10 to 19 during trading hours / M3 Real Properties, LLC; Owner; Real Estate; 1722 Maple Ave, , Zanesville, OH, 43701; Investment-Related; 07/10/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Quarry Place Owners Association; President; 6221 Riverside Drive, , Dublin, OH, 43017; Not Investment-Related; 01/01/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Man on the Moon, LLC; Owner; Manage advisory business; 6241 Riverside Dr, Suite 1S, Dublin, OH, 43017; Investment-Related; 05/23/2023; 40 to 59 hours per month; 40 to 59 during trading hours / Alpha Financial, LLC; Owner; Manage advisory business; 6241 Riverside Dr., , Dublin, OH, 43017; Investment-Related; 03/15/2026; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-01-09
• S65 Uniform Investment Adviser Law Examination
  1999-04-26

Other Names

• Stephen Mcelroy
• Stephen Thomas Mcelroy
• Steve Mcelroy