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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2024-02-09 |
| AL | RA | APPROVED | 2024-02-01 |
| TX | RA | APPROVED | 2024-02-01 |
Branch Locations
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 |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-22 |
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