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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2019-01-17 |
Branch Locations
16 Middle Street Suite 501B, Portland, ME 04101 • United States
400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portland | ME | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Portland | ME | 11/2016 | 01/2019 |
| Raymond James Financial Services, Inc. | Portland | ME | 01/2019 | 05/2022 |
| Steward Partners Global Advisory, Llc | Portland | ME | 01/2019 | Present |
| Steward Partners Investment Advisory, Llc | Portland | ME | 01/2019 | Present |
| Steward Partners Investment Solutions, Llc | Portland | ME | 05/2022 | Present |
1) STEWARD PARTNERS GLOBAL ADVISORY,LLC:INVESTMENT RELATED:11/2018-PRESENT:PORTLAND, ME:WEALTH MANAGER/INSURANCE AGENT:FINANCIAL SERVICES:160 HRS/MO:130 HRS DURING TRADING: EMPLOYEE/INSURANCE PRODUCTS 2) Name of Business : Steward Partners Investment Advisory LLC Address: Portland, ME Nature of the Business: Independent RIA Position/Title: Investment Adviser Investment Related: Yes Start Date: 01/17/2019 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Provide Financial Advice to clients 3) WAYNFLETE SCHOOL:INVESTMENT RELATED. Started:01/2019. PORTLAND, ME. INVESTMENT COMMITTEE MEMBER. 1 HR/MO:0 HRS DURING TRADING. On the investment committee, not the finance committee. Responsible for monitoring the investment policy, and investments of the school through an independent investment consultant. They then report it to the board. We only really make recommendations. 5) GoodNylund Wealth Management. Address: Portland, ME. Nature of the Business: Support Company/DBA (Owner). Position/Title: Support Company/DBA (Owner). Investment Related:No. Start Date: 01/17/2019. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of duties: Financial Advisor.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-20 |
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