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400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-06-16 |
| TX | RA | APPROVED_RES | 2020-06-10 |
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
Healdsburg, CA • United States
St. Louis, MO • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | St. Louis | MO | 11/1989 | 06/2020 |
| Plaza Advisory Group Inc. | St. Louis | MO | 01/2012 | Present |
| Raymond James Financial Services, Inc. | St. Louis | MO | 06/2020 | 05/2022 |
| Steward Partners Investment Advisory, Llc | St. Louis | MO | 06/2020 | Present |
| Steward Partners Investment Solutions, Llc | St. Louis | MO | 05/2022 | Present |
1) Name of Business: Steward Partners Global Advisory Address: 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 2) STEWARD PARTNERS INVESTMENT ADVISORY,LLC:INVESTMENT RELATED:6/2020-PRESENT: ST. LOUIS, MO:IAR; FINANCIAL SERVICES:0 HRS/MO:0 HRS DURING TRADING:INVESTMENT ADVISOR REPRESENTATIVE. 3) Name of Business: Address: 101 S Hanley Rd Ste 1350, St. Louis, MO, 63105 Activity Type: Other Position/Title: Author Investment Related: Yes Start Date: 02/01/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: author 4) Plaza Advisory Group, LLC. Address: Saint Louis, MO Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related: No Start Date: 08/01/1985 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Financial Advisor. 5)Mendocino Farming Company Address: Ukiah, CA Nature of the Business: Other (unpaid) Position/Title: Other (unpaid) Investment Related: Yes Start Date: 02/09/2012 Hours per month devoted to this business: 5 Hours per month devoted to this business during trading hours: 0 Description of duties: Passive Investor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 1981-01-28 |
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