Stephen Allen has been an investment adviser representative at Roehl & Yi Investment Advisors since November 2021, and is not listed among the firm’s executive officers or direct owners. Stephen Allen holds a Bachelor of Arts in Accounting from George Fox University.
Roehl & Yi Investment Advisors, LLC is an Eugene, OR firm with $959M under management, 500 clients and 10 advisers across 4 offices, as of its March 2026 filing.
Stephen Allen is an Advisor of Roehl & Yi Investment Advisors, based in Eugene, Oregon. He joined the firm in August 2021 and assists with the development of investment strategies, financial planning analysis and client relations. He works closely with clients to define and prioritize their goals and crafts customized financial plans. Earlier he worked in public accounting as an auditor until July 2021.
- – present · 4 yearsEugene, OR · Adviser representative · Firm CRD 109258
Professional designations
Listed by Roehl & Yi Investment Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Stephen Allen is registered as an investment adviser representative in Oregon, since November 2021.
- OregonSince 12 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 November 2021 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Stephen Douglas Allen
- CRD
- 7432153
- Firm
- Roehl & Yi Investment Advisors · CRD 109258
- Office
- 450 COUNTRY CLUB ROAD, SUITE 200, Eugene, OR 97401
- Registration
- Investment adviser registration
- In the industry since
- November 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- roehl-yi.com
Where does Stephen Allen work?
Stephen Allen is an investment adviser representative registered through Roehl & Yi Investment Advisors, LLC since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Allen a financial advisor?
Yes. Stephen Allen has a current investment-adviser registration in Oregon, through Roehl & Yi Investment Advisors since November 2021.
How many years of experience does Stephen Allen have?
Stephen Allen has 4 years in the financial industry, since November 2021, across 1 adviser firm.
What exams has Stephen Allen passed?
Stephen Allen passed the Series 65 in November 2021.
Where is Stephen Allen based?
Stephen Allen’s registered office is in Eugene, OR.
Is Stephen Allen registered with FINRA?
No. Stephen Allen has no current broker registration.
Is Stephen Allen a CFP?
Roehl & Yi Investment Advisors lists Stephen Allen with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Stephen Allen’s record?
Search CRD 7432153 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Allen’s full registration record.
