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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
Durham, ME • 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 Serivces. 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 |
| Poa For Mother | Durham | ME | 01/2019 | 02/2019 |
| Steward Partners Investment Solutions, Llc | Portland | ME | 05/2022 | Present |
1) Name of Business : Steward Partners Investment Advisory LLC Address: Portland, ME Nature of the Business: Independent RIA Position/Title: Administration 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 support to FA 2) Name of Business : GoodNylund Wealth Management of Steward Partners 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: CAM- Provide support to FA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-12 |
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