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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2023-07-31 |
| TX | RA | APPROVED_RES | 2023-07-31 |
Branch Locations
5000 Meadows Road Suite 399, Lake Oswego, OR 97035 • 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 |
|---|---|---|---|---|
| Oswego Crest Financial Group | Lake Oswego | OR | 05/2008 | Present |
| Commonwealth Financial Network | Waltham | MA | 05/2008 | 07/2023 |
| Steward Partners Investment Solutions, Llc | Lake Oswego | OR | 07/2023 | Present |
| Steward Partners Investment Advisory, Llc | Lake Oswego | OR | 07/2023 | Present |
1. FIXED INSURANCE SALES; AS AN AGENT; CONDUCTED FROM BRANCH LOCATION; INVESTMENT RELATED. 2. OSWEGO FINANCIAL GROUP LLC; COOWNER; ENTITY CREATED FOR SECURITIES BUSINESS; INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-15 |
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