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Steven James Alley

Alley Company

Lake Forest, IL

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Current Employers
Alley Company

272 Market Square Suite 214, Lake Forest, IL 60045 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-01-03
  • IL RA
    APPROVED
    Since 2022-01-03

Branch Locations

272 Market Square Suite 214, Lake Forest, IL 60045 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Alley Company, Llc Lake Forest IL 03/1998 12/2021
Alley Investment Management Company, Llc Lake Forest IL 01/2022 Present
  • 03/1998 → 12/2021
    Alley Company, Llc
    Lake Forest, IL
  • 01/2022 → Present
    Alley Investment Management Company, Llc
    Lake Forest, IL
Previous Registrations
  • 2014-02-14 → 2022-01-03
    Alley Company, Llc
    Lake Forest, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-20
S63 Uniform Securities Agent State Law Examination 1990-10-08
  • S65 Uniform Investment Adviser Law Examination
    1998-04-20
  • S63 Uniform Securities Agent State Law Examination
    1990-10-08

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · LAKE FOREST, IL
BUSS CAPITAL MANAGEMENT, LLC · LAKE FOREST, IL
ISTO ADVISORS, LLC · Lake Forest, IL
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC · Lake Forest, IL
ROUNDTABLE HEALTHCARE MANAGEMENT, INC · LAKE FOREST, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Lake Forest, IL
OBAR WEALTH MANAGEMENT LLC · LAKE FOREST, IL
EDWARD JONES · LAKE FOREST, IL

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