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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 | 2023-10-17 |
| MO | RA | APPROVED | 2020-06-25 |
| TX | RA | APPROVED | 2020-06-09 |
Branch Locations
101 South Hanley Road Suite 1350, St. Louis, MO 63105 • United States
400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
St. Louis, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | St. Louis | MO | 06/2010 | 06/2020 |
| Plaza Advisory Group, Inc. | St. Louis | MO | 06/2020 | Present |
| Steward Partners Investment Advisory, Llc | St. Louis | MO | 06/2020 | Present |
| Raymond James Financial Services, Inc. | St. Louis | MO | 06/2020 | 05/2022 |
| Steward Partners Investment Solutions, Llc | St. Louis | MO | 05/2022 | Present |
1) Name of Business: Steward Partners Investment Advisory; City/State: Saint Louis, MO; Activity Type: Independent RIA; Position/Title: Advisor; Investment Related: Yes; Start Date: 06/09/2020; Hours per month devoted to this business: 0-1; Hours per month devoted to this business during trading hours: 0-1; Description of duties: Investment Advisory 2) Name of Business: Steward Partners Global Advisory; City/State: Saint Louis, MO; Activity Type: Non-variable Insurance; Position/Title: Agent; Investment Related: Yes Start Date: 06/09/2020; 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 above 3) Plaza Advisory Group, Inc. (affiliated with Steward Partners); Investment related; Support company/DBA (Non-owner); St. Louis, MO; Started: 06/2020; 0 hrs. per month, 0 during trading hrs; Financial Advisor. 4) St. Louis Children's Hospital Board; Nature of Business: Non-Profit Hospital; City/State: St. Louis, MO; Position: Development Board Member; Duties: Board member and fundraiser; State date: 01/01/2024; Hrs/Mo devoted to activity: 1; Hrs/Mo devoted to activity during trading hours: 1; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-04 |
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