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Current Employers
Steward Partners Investment Advisory, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-29
NJ RA APPROVED 2017-11-30
  • TX RA
    APPROVED_RES
    Since 2023-08-29
  • NJ RA
    APPROVED
    Since 2017-11-30

Branch Locations

115 West Century Road Suite 145, Paramus, NJ 07652 • United States

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

Paramus, NJ • 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
Wells Fargo Advisors, Llc Paramus NJ 03/2014 11/2016
Wells Fargo Clearing Services, Llc Paramus NJ 11/2016 11/2017
Raymond James Financial Services Inc. Paramus NJ 11/2017 05/2022
Steward Partners Global Advisory, Llc Paramus NJ 11/2017 Present
Steward Partners Investment Advisory, Llc Paramus NJ 11/2017 Present
Steward Partners Investment Solutions, Llc Paramus NJ 05/2022 Present
  • 03/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Paramus, NJ
  • 11/2016 → 11/2017
    Paramus, NJ
  • 11/2017 → 05/2022
    Raymond James Financial Services Inc.
    Paramus, NJ
  • 11/2017 → Present
    Steward Partners Global Advisory, Llc
    Paramus, NJ
  • 11/2017 → Present
    Paramus, NJ
  • 05/2022 → Present
    Steward Partners Investment Solutions, Llc
    Paramus, NJ
Previous Registrations
Other Businesses

(1)Name of Business: Baker Sarama Wealth Managment Group Address: 115 West Century Road Suite 145, Paramus, NJ, 07652, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/02/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Administrative / Operations (2)Name of Business: Maria Valdivieso - IRA Acct Address: 115 West Century Road Suite 145, Paramus, NJ, United States Activity Type: Control Person Position/Title: Other Investment Related: No Start Date: 09/17/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: POA/Personal Representative. Limited PoA on my mom's IRA account (3)Name of Business: Steward Partners Investment Advisory LLC Address: 115 West Century Road Suite 145, Paramus, NJ, United States Activity Type: Independent RIA Position/Title: Investment Related: No Start Date: 11/02/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Senior Registered Wealth Mgmt Assoc - Support Staff

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-05
S63 Uniform Securities Agent State Law Examination 2016-09-28
  • S66 Uniform Combined State Law Examination
    2017-06-05
  • S63 Uniform Securities Agent State Law Examination
    2016-09-28

View on SEC IAPD

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