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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 2018-07-09
TX RA APPROVED 2018-07-06
  • OH RA
    APPROVED
    Since 2018-07-09
  • TX RA
    APPROVED
    Since 2018-07-06

Branch Locations

12645 Pearl Rd, Strongsville, OH 44136 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2012-08-30
TX RA APPROVED 2012-08-27
  • OH RA
    APPROVED
    Since 2012-08-30
  • TX RA
    APPROVED
    Since 2012-08-27

Branch Locations

12645 Pearl Rd, Strongsville, OH 44136 • 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
Lpl Financial, Llc Broadview Heights OH 12/2010 Present
Global Retirement Partners, Llc San Rafael CA 04/2015 06/2018
Oswald Financial, Inc. Cleveland OH 08/2016 06/2018
Stratos Wealth Partners, Ltd Broadview Heights OH 07/2018 Present
Previous Registrations
Other Businesses

1. 12/21/2010 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 2. 7/10/2018 - Financial Wellness Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/06/2018 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 7/11/2018 - Stratos Wealth Partners, LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 06/29/2018 - Started 06/29/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - 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 160 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. 4. 10/9/2018 - Stratos Wealth Partners, LTD - DBA: (Hybrid) Financial Wellness Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 07/06/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 5. 12/6/2019 - Financial Wellness Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/01/2020 - 5 Hours Per Month During Securities Trading. 6. 09/26/2024 - Smooth Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Busienss Location(s) - Start Date 10/01/2024 - 0 Hours Per Month/ During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-23
S63 Uniform Securities Agent State Law Examination 2011-03-07
  • S65 Uniform Investment Adviser Law Examination
    2012-03-23
  • S63 Uniform Securities Agent State Law Examination
    2011-03-07

View on SEC IAPD

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