Stephen Richard Spector

Current Employers

Employment History

• 07/2003 → 04/2017
  Wells Fargo Advisors
  Boston, MA
• 04/2017 → 05/2022
  Raymond James Financial Services, Inc.
  Portsmouth, NH
• 04/2017 → Present
  Steward Partners Investment Advisory, Llc.
  Portsmouth, NH
• 08/2017 → Present
  Steward Partners Global Advisory, Llc
  Portsmouth, NH
• 05/2022 → Present
  Steward Partners Investment Solutions, Llc
  Portsmouth, NH

Previous Registrations

• 2003-07-01 → 2017-04-28
  Wells Fargo Clearing Services, Llc
  Weston, MA
  Boston, MA
  Weston, MA
• 1989-05-04 → 2003-07-01
  Prudential Equity Group, Llc
  Weston, MA

Other Businesses

1) Steward Partners Investment Advisory, LLC. - Investment related: Yes. Address: Portsmouth, NH. Nature of the business: Independent RIA. Position: Investment Advisor Representative. Start Date: 08/2017. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of Duties: Provide advisory services for clients. 2) Steward Partners Global Advisory, LLC. - Investment related: Yes. Address: Portsmouth, NH. Nature of business: Non-variable insurance and annuities. Position: Agent. Start date: 4/2017. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of Duties: Offer non-variable insurance, term, whole and universal life insurance, disability health, and immediate and fixed annuities. 3) Spector & Frisch Private Wealth Management Partners - Investment related: Yes. Address: Portsmouth, NH. Nature of the business: Support Company/DBA (owner). Position: Affiliate/Financial Advisor. Start Date: 08/2017. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of Duties: Provide securities sales and advisory services for clients. 4) Rainbow Rock LLC.; Weston, MA; LLC. Not investment related; Start date 03/2008; 1 hrs mo devoted; 0 hrs mo during trading; Own 2nd home. 5) Birches At South Ave; Weston, MA; Homeowners Association; Not investment related; Started 06/2013 to present; 4 hrs mo devoted; 0 hrs mo during trading; Homeowner board member; advise on matters that affect homeowners on our street. 6) Rental Property; Chatham, MA. Investment Related: Yes Start Date: 04/27/2017. Hours per month devoted to this business: 1. Hours per month devoted to this business during trading hours: 1. Description of duties: Rental property. 7) OBA Type: Board/Committee Membership; Name of Activity: Condo Board Member; Nature of Business: Board member for condo homeowners where I live; Position/Title: Board Member; City/State: Portsmouth, NH; Duties: Advise on matters that affect homeowners; Start Date: 05/01/2025; 4HRS/MO devoted to activity; 0HRS/MO devoted during business hours; Not investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-11-10
• S63 Uniform Securities Agent State Law Examination
  1983-12-22

Other Names

• Stephen R Spector