Stephen Miles Ross

Current Employers

Tradewinds, Llc

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2022-02-04

NC RA
APPROVED

Since 2022-02-04

Branch Locations

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States

Disclosures

1 disclosure category 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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Burlington	NC	08/2010	11/2016
Wells Fargo Clearing Services, Llc	Burlington	NC	11/2016	01/2022
Tradewinds, Llc.	Raleigh	NC	01/2022	Present

08/2010 → 11/2016

Wells Fargo Advisors Llc

Burlington, NC
11/2016 → 01/2022

Wells Fargo Clearing Services, Llc

Burlington, NC
01/2022 → Present

Tradewinds, Llc.

Raleigh, NC

Previous Registrations

2010-08-03 → 2022-01-26

Wells Fargo Clearing Services, Llc

Burlington, NC
2009-06-01 → 2010-08-27

Morgan Stanley

Greensboro, NC
2004-07-02 → 2009-06-01

Citigroup Global Markets Inc.

Greensboro, NC

Greensboro, NC
2002-09-12 → 2004-07-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Burlington, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-08-27
S63	Uniform Securities Agent State Law Examination	1982-07-30

S65 Uniform Investment Adviser Law Examination

2002-08-27
S63 Uniform Securities Agent State Law Examination

1982-07-30

View on SEC IAPD

Current Employers

Tradewinds, Llc

Disclosures

Employment History

Previous Registrations

Exams

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