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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-09 |
| TX | RA | APPROVED_RES | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-11 |
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