Stephen Miles Ross

Employer firm

Tradewinds, LLC CRD 316415

$659M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

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