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Steward Partners Investment Advisory, LLC CRD 283004
$36.7B regulatory AUM 9,667 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2024-12-06 |
| CA | RA | APPROVED | 2024-12-05 |
| TX | RA | APPROVED | 2024-12-05 |
Branch Locations
Albuquerque, NM • United States
400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
1800 Century Park East Suite 230, Los Angeles, CA 90067 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Los Angeles | CA | 05/2013 | 01/2018 |
| Lpl Financial, Llc | Los Angeles | CA | 01/2018 | 12/2024 |
| Trost Financial Consulting | Albuquerque | NM | 01/2018 | 12/2024 |
| Steward Partners Investment Solutions, Llc | Albuquerque | NM | 12/2024 | Present |
| Steward Partners Global Advisory, Llc | Albuquerque | NM | 12/2024 | Present |
| Steward Partners Investment Advisory, Llc | Albuquerque | NM | 12/2024 | Present |
1. 01/22/2018 - TROST FINANCIAL PLANNING- Investment Related - At Reported Business Location(s) - RIA - Started 01/22/2018 - 20 Hours Per Month/0 Hours During Securities Trading - Time Spent 13%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-19 |
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