Best Investors Account Sign in
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 2024-02-09
AL RA APPROVED 2024-02-01
TX RA APPROVED 2024-02-01
  • LA RA
    APPROVED
    Since 2024-02-09
  • AL RA
    APPROVED
    Since 2024-02-01
  • TX RA
    APPROVED
    Since 2024-02-01

Branch Locations

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

161 W 1-65 Service Rd N, Mobile, AL 36608 • 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
Wells Fargo Advisors Mobile AL 01/2014 11/2016
Wells Fargo Clearing Services, Llc Mobile AL 11/2016 02/2024
Steward Partners Global Advisory, Llc Mobile AL 02/2024 Present
Steward Partners Investment Solutions, Llc Mobile AL 02/2024 Present
Steward Partners Investment Advisory, Llc Mobile AL 02/2024 Present
Previous Registrations
  • 2014-01-24 → 2024-02-08
    Mobile, AL
  • 2009-06-01 → 2014-01-31
    Mobile, AL
    Mobile, AL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Mobile, AL
  • 1995-02-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    Mobile, AL
    Mobile, AL
Other Businesses

1) Name of Outside Activity: ALBAMA WEST FL UNITED METHODIST Foundation; Nature of Business Relationship: Non-Profit; City, State: Dothan, AL; Position/Title: Board Member and Investment Committee; List of duties: Board Member, Committee Member; Start date: 05/01/1999; 3 HRS PER MONTH devoted to this activity, 1HR/MO DURING TRADING; Investment related. 2) Name of Outside Activity: Mobile Opera Board; Nature of Business Relationship: Performing Arts; City, State: Mobile, AL; Position/Title: Board VP and Strategic Planning Chair; List of duties: Board VP and Strategic Planning chair; Start Date: 05/01/1986; 5 HRS/Mo devoted to this activity; 1 HR/Mo during trading hours; Not Investment Related. 3) Name of Outside Activity: Ashland Place United Methodist Church; Nature of Business Relationship: Church; City, State: Mobile, AL; Position/Title: Chair of Administrative Board; List of duties: Board Member; Start Date: 01/01/2024; 6HRS/Mo devoted to this activity; 2 HRS/Mo during trading hours; Not Investment Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-24
S63 Uniform Securities Agent State Law Examination 1993-12-22
  • S65 Uniform Investment Adviser Law Examination
    1998-04-24
  • S63 Uniform Securities Agent State Law Examination
    1993-12-22

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Stamford, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor