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David Alan Stockton

Steward Partners Investment Advisory, LLC

Lake Oswego, OR

Stamford, CT

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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
LA RA APPROVED 2024-10-30
TX RA APPROVED 2024-10-18
OR RA APPROVED 2023-05-08
  • LA RA
    APPROVED
    Since 2024-10-30
  • TX RA
    APPROVED
    Since 2024-10-18
  • OR RA
    APPROVED
    Since 2023-05-08

Branch Locations

4949 Meadows Road Suite 400, Lake Oswego, OR 97035 • 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
Steward Partners Investment Solutions, Llc Lake Oswego OR 02/2009 Present
Steward Partners Global Advisory, Llc Lake Oswego OR 04/2021 Present
Steward Partners Investment Advisory, Llc Lake Oswego OR 05/2023 Present
  • 02/2009 → Present
    Steward Partners Investment Solutions, Llc
    Lake Oswego, OR
  • 04/2021 → Present
    Steward Partners Global Advisory, Llc
    Lake Oswego, OR
  • 05/2023 → Present
    Steward Partners Investment Advisory, Llc
    Lake Oswego, OR
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-16
S63 Uniform Securities Agent State Law Examination 1993-06-09
  • S65 Uniform Investment Adviser Law Examination
    1993-06-16
  • S63 Uniform Securities Agent State Law Examination
    1993-06-09
Designations
Other Names
  • David Alan Stockton

View on SEC IAPD

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Other Investors

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ANDREW GEORGE ROUNSAVELLE CARTER
LISA M CASELLI
Nicholas Jacob Hubert
Catherine A Groff
MARCUS CHRISTIAN PARKER
JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
PACIFIC RIDGE CAPITAL PARTNERS, LLC · LAKE OSWEGO, OR

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