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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 | 2026-05-13 |
| CT | RA | APPROVED | 2018-07-20 |
Branch Locations
32 Church Hill Road Unit 107, Newtown, CT 06470 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Danbury | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Danbury | CT | 11/2016 | 07/2018 |
| Raymond James Financial Services, Inc. | Newtown | CT | 07/2018 | 05/2022 |
| Stewart Partners Global Advisory Llc | Newtown | CT | 07/2018 | Present |
| Steward Partners Investment Solutions, Llc | Newtown | CT | 05/2022 | Present |
| Steward Partners Investment Advisory, Llc | Newtown | CT | 07/2018 | Present |
1) STEWARD PARTNERS INVESTMENT ADVISORY,LLC:INVESTMENT RELATED:7/2018-PRESENT:NEWTOWN, CT:IAR/INVESTMENT ADVISOR REP:FINANCIAL SERVICES:200 HRS/MO:130 HRS DURING TRADING:IAR. 2) STEWARD PARTNRES HOLDINGS,LLC:INVESTMENT RELATED:7/2018-PRESENT:NEWTOWN, CT:PASSIVE INVESTOR:0 HRS/MO:0 HRS DURING TRADING: 3) Kortze Brothers Wealth Management Group. Address: Newtown, CT Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Investment Adviser Investment Related: No Start Date: 07/19/2018 Hours per month devoted to this business: 180 Hours per month devoted to this business during trading hours: 130 Description of duties: Financial Advisor for Steward Partners. 4) Steward Partners Global Advisory Address: Newtown, CT Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 08/22/2019 Hours per month devoted to this business: 5 Hours per month devoted to this business during trading hours: 5 Description of duties: Install insurance products listed 5) Newtown Volunteer Ambulance; Newtown, CT; Emergency Medical; Treasurer; Non-Investment Related; 07/01/2020; 2-3 HRS/MO not during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-04 |
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