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Chief Compliance Officer, President · Exeter Financial, LLC

Stephen L. Harrison

CRD 2236475 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Exeter Financial, LLC, an SEC-registered wealth manager based in Scottsdale, AZ with $420 million in regulatory assets, lists Stephen L. Harrison on its Form ADV as Chief Compliance Officer, President, a control person. The SEC filings also name Stephen at 1 other registered adviser.

Firms and roles

  • Exeter Financial, LLCChief Compliance Officer, PresidentWealth manager · Scottsdale, AZ · $420M in regulatory assets
  • Alkeme Investments LLCPresident, Chief Compliance OfficerAsset manager · Scottsdale, AZ · $0M in regulatory assets

AtlasMembers

Stephen’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Stephen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.