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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-06-02 |
Branch Locations
400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
1920 Mckinney Avenue Suite 1150, Dallas, TX 75201 • United States
Dallas, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates | Dallas | TX | 10/2013 | 06/2020 |
| Raymond James Financial Services, Inc | Dallas | TX | 06/2020 | 05/2022 |
| Raymond James Financial Services Advisors, Inc | Dallas | TX | 06/2020 | 05/2022 |
| Steward Partners Global Advisory, Llc | Dallas | TX | 06/2020 | Present |
| Steward Partners Investment Advisory, Llc | Dallas | TX | 06/2020 | Present |
| Steward Partners Investment Solutions, Llc | Dallas | TX | 05/2022 | Present |
1) Name of Business : Steward Partners Investment Advisory LLC Address: 1920 McKinney Ave Suite 1150,Dallas, TX Nature of the Business: Independent RIA Position/Title: Investment Adviser Investment Related: Yes Start Date: 06/03/2020 Hours per month devoted to this business: 0 -1 Hours per month devoted to this business during trading hours: 0 -1 Description of duties: wealth management services to private clients 2) Dallas Opera House Hart Institute for Women Conductors - 05/2018 - Dallas, TX - Board Member 3) Name of Business : Steward Partners Global Advisory Address: Dallas, TX Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related:No Start Date: 09/24/2020 Hours per month devoted to this business: 0.05 Hours per month devoted to this business during trading hours: 0.05 Description of duties: Install insurance products listed 4) Name of Activity: St. Rita's Catholic Community Investment Advisory Committee; City/State: Dallas, TX; Nature of business: Non-Profit/Church; Position/Title: Advisory Committee Member; Investment Related; Start date 10/1/2024; 2 HRS/Mo devoted to this activity; 1 HR/Mo devoted to activity during trading hours; description of duties: Advise parish pastor and finance committee on investment portfolio and policies.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-08 |
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