Best Investors Account Sign in
Current Employers
Steward Partners Investment Advisory, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-02-09
TX RA APPROVED_RES 2017-01-20
  • NY RA
    APPROVED
    Since 2021-02-09
  • TX RA
    APPROVED_RES
    Since 2017-01-20

Branch Locations

677 Broadway 2Nd Floor, Albany, NY 12207 • United States

Lake Placid, NY • 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
Rbc Capital Markets Llc Schenectady NY 05/2009 01/2017
City National Bank Albany NY 10/2016 01/2017
Raymond James Financial Services, Inc. Albany NY 01/2017 05/2022
Steward Partners Investment Advisory Llc Albany NY 01/2017 Present
Steward Partners Global Advisory Albany NY 01/2017 Present
Steward Partners Investment Solutions, Llc Albany NY 05/2022 Present
  • 05/2009 → 01/2017
    Schenectady, NY
  • 10/2016 → 01/2017
    City National Bank
    Albany, NY
  • 01/2017 → 05/2022
    Raymond James Financial Services, Inc.
    Albany, NY
  • 01/2017 → Present
    Albany, NY
  • 01/2017 → Present
    Steward Partners Global Advisory
    Albany, NY
  • 05/2022 → Present
    Steward Partners Investment Solutions, Llc
    Albany, NY
Previous Registrations
Other Businesses

(1)Name of Business: Alternate health care proxy for Mary Ellen Haase Address: 677 Broadway Fl 12, Albany, NY, United States Activity Type: Control Person Position/Title: Other Investment Related: No Start Date: 04/10/2019 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. I am listed as the secondary health care proxy for my mother, Mary Ellen Haase (2)Name of Business: Haase Family Advisors Address: 677 Broadway Fl 12, Albany, NY, 12207, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/19/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor (3)Name of Business: Roberts Address: 677 Broadway Fl 12, Albany, NY, 12207, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: No Start Date: 03/12/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trustee (4)Name of Business: Steward Partners Global Advisory Address: 677 Broadway Fl 12, Albany, NY, 12207, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 04/03/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Install insurance products listed (5)Name of Business: Steward Partners Investment Advisory LLC Address: 677 Broadway Fl 12, Albany, NY, United States Activity Type: Independent RIA Position/Title: Investment Related: No Start Date: 01/19/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Advisory services for clients

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-15
S63 Uniform Securities Agent State Law Examination 2005-02-11
  • S65 Uniform Investment Adviser Law Examination
    2005-02-15
  • S63 Uniform Securities Agent State Law Examination
    2005-02-11
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Albany, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor