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Current Employers
Stratos Wealth Partners, Ltd

3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2018-06-27
  • OH RA
    APPROVED
    Since 2018-06-27

Branch Locations

3750 Park East Drive Suite 200, Beachwood, OH 44122 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities Llc Mayfield Heights OH 04/2015 06/2018
The Prudential Insurance Co Of America Mayfield Hts OH 05/2015 06/2018
Lpl Financial Llc Beachwood OH 06/2018 Present
Stratos Wealth Partners, Ltd Beachwood OH 06/2018 Present
  • 04/2015 → 06/2018
    Mayfield Heights, OH
  • 05/2015 → 06/2018
    The Prudential Insurance Co Of America
    Mayfield Hts, OH
  • 06/2018 → Present
    Lpl Financial Llc
    Beachwood, OH
  • 06/2018 → Present
    Beachwood, OH
Previous Registrations
Other Businesses

1) 06/18/2018 - Stratos Wealth Partners - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 06/2018 2) 06/18/2018 - Notary - State of Ohio - at reported business location(s) - start: 12/2013. 3) 06/26/2018 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 4) 7/11/2018 - Stratos Wealth Partners, LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/26/2018 - 80 Hours Per Month/80 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 06/2018. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-12
S63 Uniform Securities Agent State Law Examination 1999-12-27
  • S66 Uniform Combined State Law Examination
    2016-01-12
  • S63 Uniform Securities Agent State Law Examination
    1999-12-27
Other Names
  • Rick Juarbe
  • Richard Juarbe
  • Richard Juarbe

View on SEC IAPD

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