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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

STEPHEN THOMAS MCELROY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

New Concord, OH | Zanesville, OH | Dublin, OH

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Search this name across graphsid dfx:ria:121776f9-b28e-cffc-ef77-5e39d3bf49e4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 26, 1999
First registration: Apr 2, 2001
Dual registered: yes, broker-dealer
Other names: Stephen McElroy|STEPHEN THOMAS MCELROY|Steve McElroy
IAPD individual key: 2275110

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 12, 2022	n/a	yes	Zanesville, OH\|Dublin, OH\|New Concord, OH	Current employment
ALPHA FINANCIAL PLANNING, INC.	n/a	Jul 22, 2015	Jan 17, 2023	no	DUBLIN, OH	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Jun 15, 2012	Oct 1, 2015	no	COLUMBUS, OH	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Sep 3, 2010	Jun 12, 2012	no	DUBLIN, OH\|COLUMBUS, OH	Previous registration
MERCER GLOBAL ADVISORS INC.	Independent wealth	Jul 11, 2008	Sep 16, 2010	no	DUBLIN, OH	Previous registration
MERCER ADVISORS	n/a	Apr 2, 2001	Jul 10, 2008	no	DUBLIN, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALPHA FINANCIAL PLANNING, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 17, 2023	Dec 12, 2022	-36	Firm change after gap	Other
STRATOS WEALTH PARTNERS, LTD	ALPHA FINANCIAL PLANNING, INC.	Oct 1, 2015	Jul 22, 2015	-71	Firm change after gap	Other
HUNTINGTON FINANCIAL ADVISORS	STRATOS WEALTH PARTNERS, LTD	Jun 12, 2012	Jun 15, 2012	3	Firm change	Other
MERCER GLOBAL ADVISORS INC.	HUNTINGTON FINANCIAL ADVISORS	Sep 16, 2010	Sep 3, 2010	-13	Firm change	Other
MERCER ADVISORS	MERCER GLOBAL ADVISORS INC.	Jul 10, 2008	Jul 11, 2008	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
269831:6363:OH:2023-01-10	Jan 17, 2023	Dec 12, 2022	DUBLIN, OH	Firm change after gap
153184:269831:OH:2015-10-01	Oct 1, 2015	Jul 22, 2015	COLUMBUS, OH	Firm change after gap

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 12, 2022 to presentfactForm ADV
→ ALPHA FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Jul 22, 2015 to Jan 17, 2023factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Jun 15, 2012 to Oct 1, 2015factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 3, 2010 to Jun 12, 2012factForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviserregistration: previous registration
Jul 11, 2008 to Sep 16, 2010factForm ADV
→ MERCER ADVISORSRegistered adviserregistration: previous registration
Apr 2, 2001 to Jul 10, 2008factForm ADV

Dated events

Occurred
Jan 17, 2023
Advisor changed firm
Stephen Thomas Mcelroy left Alpha Financial Planning, Inc. for Ameriprise Financial Services, Llc (registered 2022-12-12)
Form ADVobserved 4 days ago