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ALBERTA STEPHENS ROBERTS
ALBERTA STEPHENS
CRD#: 2681068
IA
Investment Adviser
B
Broker Regulated by FINRA
BANKERS LIFE SECURITIES, INC.CRD#: 173962 303 E WACKER DRIVE
5th Fl
CHICAGO, IL 60601
+1
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1995 - 2000 (4 years)2 FIRMS2002 - 2005 (3 years)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2005 - 2013 (7 years)IABANKERS LIFE ADVISORY SERVICES... (CRD# 281285)2016 - Present (9 years)BBANKERS LIFE SECURITIES, INC. (CRD# 173962)2015 - Present (9 years)BCROWN STERLING LLC (CRD# 169152)2014 - 2014 (<1 year)BM&I DISTRIBUTORS LLC (CRD# 146711)2012 - 2013 (1 year)BFIRST NATIONAL INVESTMENTS, INC. (CRD# 25865)2007 - 2007 (<1 year)BHARRIS INVESTORLINE INC. (CRD# 6362)2002 - 2002 (<1 year)BIAC SECURITIES, INC. (CRD# 14081)2000 - 2002 (2 years)BFIRST VARIABLE CAPITAL SERVICE... (CRD# 30007)2001 - 2001 (<1 year)BPUBLIC EMPLOYEES EQUITIES SERV... (CRD# 7315)1997 - 1998 (1 year)
License(s)

State Registrations

B
Alabama

B
Montana

B
Alaska

B
Nebraska

B
Arizona

B
Nevada

B
Arkansas

B
New Hampshire

B
California

B
New Jersey

B
Colorado

B
New Mexico

B
Connecticut

B
New York

B
Delaware

B
North Carolina

B
District of Columbia

B
North Dakota

B
Florida

B
Ohio

B
Georgia

B
Oklahoma

B
Hawaii

B
Oregon

B
Idaho

B
Pennsylvania

B
Illinois

B
Puerto Rico

IA
Illinois

B
Rhode Island

B
Indiana

B
South Carolina

B
Iowa

B
South Dakota

B
Kansas

B
Tennessee

B
Kentucky

B
Texas

B
Louisiana

B
Utah

B
Maine

B
Vermont

B
Maryland

B
Virginia

B
Massachusetts

B
Washington

B
Michigan

B
West Virginia

B
Minnesota

B
Wisconsin

B
Mississippi

B
Wyoming

B
Missouri

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
BANKERS LIFE SECURITIES, INC. (CRD#:173962)
303 E WACKER DRIVE 5th Fl, CHICAGO, IL 60601
Registered with this firm since 8/19/2015

IA
BANKERS LIFE ADVISORY SERVICES, INC. (CRD#:281285)
303 E. WACKER DRIVE 5TH FL, CHICAGO, IL 60601
Registered with this firm since 3/28/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/27/2014 - 11/03/2014 CROWN STERLING LLC (CRD#:169152) NEW YORK, NY
B
05/22/2012 - 10/17/2013 M&I DISTRIBUTORS LLC (CRD#:146711) CHICAGO, IL
B
11/25/2005 - 10/17/2013 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) CHICAGO, IL
IA
11/04/2005 - 10/17/2013 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) CHICAGO, IL
B
02/27/2012 - 11/07/2012 M&I FINANCIAL ADVISORS, INC (CRD#:16517) MILWAUKEE, WI
IA
03/23/2012 - 08/31/2012 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) MILWAUKEE, WI
B
07/02/2010 - 11/29/2010 AMCORE INVESTMENT SERVICES, INC (CRD#:27708) ROCKFORD, IL
IA
07/02/2010 - 09/30/2010 AMCORE INVESTMENT SERVICES, INC (CRD#:27708) ROCKFORD, IL
B
03/19/2007 - 09/21/2007 FIRST NATIONAL INVESTMENTS, INC. (CRD#:25865) KOKOMO, IN
IA
11/20/2002 - 12/31/2005 HARRISDIRECT LLC (CRD#:42159) CHICAGO, IL
B
05/01/2002 - 12/31/2005 HARRISDIRECT LLC (CRD#:42159) JERSEY CITY, NJ
B
04/05/2002 - 05/01/2002 HARRIS INVESTORLINE INC. (CRD#:6362) SEATTLE, WA
B
03/07/2000 - 04/03/2002 IAC SECURITIES, INC. (CRD#:14081) TINLEY PARK, IL
B
03/26/2001 - 06/24/2001 FIRST VARIABLE CAPITAL SERVICES, INC. (CRD#:30007) BIRMINGHAM, AL
B
11/16/1995 - 03/14/2000 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
11/16/1995 - 03/14/2000 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
08/22/1997 - 09/02/1998 PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (CRD#:7315) PALM BEACH GARDENS, FL
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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