Steven Mallory has been an investment adviser representative at Delta Investment Management since September 2019, and is not listed among the firm’s executive officers or direct owners.
Delta Investment Management, LLC is a San Francisco, CA firm with $857M under management, 1,099 clients and 25 advisers across 11 offices, as of its April 2026 filing.
Steven Mallory’s longest registration is the current one, 7 years at Delta Investment Management since 2019. Before joining Delta Investment Management in 2019, Steven Mallory was registered through Brookstone Capital Management LLC.
- – present · 7 yearsScottsdale, AZ · Adviser representative · Firm CRD 149596
- Brookstone Capital Management LLC– · under a yearScottsdale, AZ · Adviser representative · Firm CRD 141413
Investment adviser representative registrations
Steven Mallory is registered as an investment adviser representative in 2 states. Each was approved in September 2019.
- ArizonaSince 30 September 2019
- TexasSince 3 September 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 September 2018 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Steven Michael Mallory
- CRD
- 7028370
- Firm
- Delta Investment Management · CRD 149596
- Office
- 14300 N. Northsight Boulevard, Suite 122, Scottsdale, AZ 85260
- Registration
- Investment adviser registration
- In the industry since
- October 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Mallory work?
Steven Mallory is an investment adviser representative registered through Delta Investment Management, LLC since September 2019, and is not listed among the firm’s executive officers or direct owners.
Is Steven Mallory a financial advisor?
Yes. Steven Mallory has a current investment-adviser registration in Arizona and Texas, through Delta Investment Management since September 2019.
How many years of experience does Steven Mallory have?
Steven Mallory has 8 years in the financial industry, since October 2018, across 2 adviser firms.
What exams has Steven Mallory passed?
Steven Mallory passed the Series 65 in September 2018.
Where did Steven Mallory work before Delta Investment Management?
Before Delta Investment Management, Steven Mallory was registered through Brookstone Capital Management LLC, October 2018 to August 2019.
Where is Steven Mallory based?
Steven Mallory’s registered office is in Scottsdale, AZ.
Is Steven Mallory registered with FINRA?
No. Steven Mallory has no current broker registration.
How can I verify Steven Mallory’s record?
Search CRD 7028370 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Mallory’s full registration record.
