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Employer firm

Steward Partners Investment Advisory, LLC CRD 283004

$36.7B regulatory AUM 9,667 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • FINANCIAL CONSULTING

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

Current Employers
Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-11-05
  • NJ RA
    APPROVED
    Since 2025-11-05

Branch Locations

Sewell, NJ • United States

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wilmington Trust Company Wilmington DE 07/2014 12/2016
Capital One Investing, Llc Wilmington DE 12/2016 07/2018
Capital One Advisors, Llc Wilmington DE 06/2018 07/2018
Lincoln Financial Advisors Philadelphia PA 08/2018 02/2025
Osaic Wealth, Inc. Scottsdale AZ 01/2025 04/2025
Steward Partners Global Advisory, Llc Portland OR 11/2025 Present
Steward Partners Investment Solutions, Llc Portland OR 11/2025 Present
Steward Partners Investment Advisory, Llc Portland OR 11/2025 Present
Unemployed Sewell NJ 05/2025 10/2025
  • 07/2014 → 12/2016
    Wilmington Trust Company
    Wilmington, DE
  • 12/2016 → 07/2018
    Capital One Investing, Llc
    Wilmington, DE
  • 06/2018 → 07/2018
    Capital One Advisors, Llc
    Wilmington, DE
  • 08/2018 → 02/2025
    Lincoln Financial Advisors
    Philadelphia, PA
  • 01/2025 → 04/2025
    Scottsdale, AZ
  • 11/2025 → Present
    Steward Partners Global Advisory, Llc
    Portland, OR
  • 11/2025 → Present
    Steward Partners Investment Solutions, Llc
    Portland, OR
  • 11/2025 → Present
    Portland, OR
  • 05/2025 → 10/2025
    Unemployed
    Sewell, NJ
Previous Registrations
  • 2025-01-24 → 2025-11-04
    Scottsdale, AZ
  • 2018-08-14 → 2025-01-24
    Osaic Fa, Inc.
    Radnor, PA
    Fort Wayne, IN
  • 2018-06-01 → 2018-07-31
    Capital One Advisors, Llc
    Wilmington, DE
    Mclean, VA
Other Businesses

Paradise Cove Tanning, 660 Woodbury Glassboro Rd., Sewell, NJ Category: Retail/Service Industry/LLC Investment-Related: Yes Title: Owner Duties: Silent Owner Start Date: 11/2005 Hours per month: 5 Hours per month during trading hours: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-31
S63 Uniform Securities Agent State Law Examination 2017-07-18
  • S65 Uniform Investment Adviser Law Examination
    2018-05-31
  • S63 Uniform Securities Agent State Law Examination
    2017-07-18

View on SEC IAPD

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