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Employer firm

Stratos Wealth Partners, Ltd CRD 153184

$18.6B regulatory AUM 376 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Stratos Wealth Partners, Ltd

3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2016-03-09
TX RA APPROVED 2014-02-05
CA RA APPROVED 2013-05-31
  • LA RA
    APPROVED
    Since 2016-03-09
  • TX RA
    APPROVED
    Since 2014-02-05
  • CA RA
    APPROVED
    Since 2013-05-31

Branch Locations

12348 High Bluff Drive Suite 240, San Diego, CA 92130 • United States

San Diego, CA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Diego CA 05/2013 Present
Stratos Wealth Partners, Ltd. San Diego CA 05/2013 Present
Previous Registrations
Other Businesses

1. 02/07/2013 - Stratos Wealth Partners, Ltd. - INV REL - 10% TIME SPENT - fixed insurance products, including fixed annuities, term, universal, whole life, long term care, disability, health and dental insurance. 2. 02/07/2013 - Stratos Wealth Partners, Ltd. - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 05/31/2013 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 4. 6/10/2013 - Stratos Wealth Partners, Ltd. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date: 5/2013 - Time Spent 50% - I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 5/2013. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 1/3/2022 - Stella Maris Capital Wealth Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Managing Partner - Start Date 1/3/2022 - 2 Hours Per Month/1 Hours During Securities Trading - LPL fees/commissions & Fees from the RIA Stratos Wealth Partners. 6. 03/21/2022 - Pacific Southwest Financial a Capitas Financial Partner - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor/Insurance Producer - Start Date - 03/14/2022 - 2 Hours Per Month/1 Hours During Securities Trading. 7. 05/05/2023 - Gallion Town Holdings, LLC - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 05/05/2023 - 1 Hours Per Month/0 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-18
S63 Uniform Securities Agent State Law Examination 1998-07-31
  • S65 Uniform Investment Adviser Law Examination
    2001-07-18
  • S63 Uniform Securities Agent State Law Examination
    1998-07-31

View on SEC IAPD

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