Steven Alley has been President & Founder of Alley Investment Management since November 2021, is a control person of the firm and directly owns under 5% of it. Steven Alley holds a Bachelor's degree in Business Administration from the University of Wisconsin and an MBA in Finance from the University of Wisconsin.
Alley Investment Management Company, LLC is a Lake Forest, IL firm with $907M under management, 170 clients and 5 advisers in one office, as of its March 2026 filing.
Steve Alley is President of Alley Company and has investment experience dating back to 1983. He founded the firm in 1998 after a 12-year career with Morgan Stanley, including five years as Managing Director of Private Client Services and the Institutional Equity Department in Chicago.
Steven Alley’s longest registration was 7 years at Alley Company, LLC (2014–2022). Before joining Alley Investment Management in 2022, Steven Alley was registered through Alley Company, LLC.
- Alley Company, LLC– · 7 yearsLake Forest, IL · Adviser representative · Firm CRD 112702
Investment adviser representative registrations
Steven Alley is registered as an investment adviser representative in Illinois, since January 2022.
- IllinoisSince 3 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 April 1998 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 10 September 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 October 1990 |
| Series 7 | General Securities Representative Examination | 15 October 1983 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven James Alley
- CRD
- 1197753
- Firm
- Alley Investment Management · CRD 317544
- Role
- President & Founder
- Office
- 272 MARKET SQUARE, SUITE 214, Lake Forest, IL 60045
- Registration
- Investment adviser registration
- In the industry since
- February 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- alleycompanyllc.com
Where does Steven Alley work?
Steven Alley has been President & Founder of Alley Investment Management Company, LLC since November 2021, and is a control person of the firm.
Is Steven Alley a financial advisor?
Yes. Steven Alley has a current investment-adviser registration in Illinois, through Alley Investment Management since January 2022.
How many years of experience does Steven Alley have?
Steven Alley has 12 years in the financial industry, since February 2014, across 2 adviser firms.
What exams has Steven Alley passed?
Steven Alley has passed 4 licensing exams: the Series 7, Series 63, Series 8 and Series 65. The earliest, the Series 7, was passed in October 1983.
Where did Steven Alley work before Alley Investment Management?
Before Alley Investment Management, Steven Alley was registered through Alley Company, LLC, February 2014 to January 2022.
Where is Steven Alley based?
Steven Alley’s registered office is in Lake Forest, IL.
Is Steven Alley registered with FINRA?
No. Steven Alley has no current broker registration.
How can I verify Steven Alley’s record?
Search CRD 1197753 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Alley’s full registration record.
