Peter Osborne Frisch

Current Employers

Steward Partners Investment Advisory, Llc

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

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2022-12-20
NH	RA	APPROVED	2022-01-14
TX	RA	APPROVED	2017-06-02
MA	RA	APPROVED	2017-05-15

LA RA
APPROVED

Since 2022-12-20
NH RA
APPROVED

Since 2022-01-14
TX RA
APPROVED

Since 2017-06-02
MA RA
APPROVED

Since 2017-05-15

Branch Locations

300 Brickstone Square Suite 1006, Andover, MA 01810 • United States

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

Swampscott, MA • 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

Organization	City	State	From	To
Wachovia Securities Llc	Boston	MA	07/2003	04/2017
Raymond James Financial Services, Inc.	Boston	MA	04/2017	05/2022
Steward Partners Investment Advisory, Llc.	Andover	MA	04/2017	Present
Steward Partners Global Advisory, Llc.	Andover	MA	04/2017	Present
Steward Partners Investment Solutions, Llc	Andover	MA	05/2022	Present

07/2003 → 04/2017

Wachovia Securities Llc

Boston, MA
04/2017 → 05/2022

Raymond James Financial Services, Inc.

Boston, MA
04/2017 → Present

Steward Partners Investment Advisory, Llc.

Andover, MA
04/2017 → Present

Steward Partners Global Advisory, Llc.

Andover, MA
05/2022 → Present

Steward Partners Investment Solutions, Llc

Andover, MA

Previous Registrations

2003-07-01 → 2017-04-28

Wells Fargo Clearing Services, Llc

Boston, MA

Boston, MA
1999-05-06 → 2003-07-01

Prudential Equity Group, Llc

Boston, MA

Other Businesses

(1)Name of Business: Penn Packet, LLC Address: 21 Robert Road, Marblehead, MA, 01945, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 03/01/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Penn Packet is a limited liability corporation that owns and manages a Swan 53, a sloop rigged sailboat. (2)Name of Business: Spector and Frisch Wealth Management Address: One International Place Suite 3210, Boston, MA, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/27/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Team Name (3)Name of Business: Steward Partners Global Advisory Address: One International Place Suite 3210, Boston, MA, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: No Start Date: 08/15/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Install Insurance Products Listed (4)Name of Business: Steward Partners Investment Advisory, LLC Address: One International Place Suite 3210, Boston, MA, United States Activity Type: Independent RIA Position/Title: Investment Related: No Start Date: 04/27/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide advisory services for client

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-09
S63	Uniform Securities Agent State Law Examination	1994-09-02

S65 Uniform Investment Adviser Law Examination

1994-09-09
S63 Uniform Securities Agent State Law Examination

1994-09-02

Designations

Other Names

Peter O Frisch

View on SEC IAPD