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Current Employers
Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2023-08-25
CO RA APPROVED 2021-03-25
TX RA APPROVED 2021-03-25
  • LA RA
    APPROVED
    Since 2023-08-25
  • CO RA
    APPROVED
    Since 2021-03-25
  • TX RA
    APPROVED
    Since 2021-03-25

Branch Locations

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

2950 E. Harmony Road Suite 250, Fort Collins, CO 80528 • 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
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Fort Collins CO 03/2008 02/2021
Raymond James Financial Services, Inc Washington DC 02/2021 05/2022
Steward Partners Global Advisory Llc Ft. Collins CO 02/2021 Present
Steward Partners Investment Advisory Llc Ft. Collins CO 02/2021 Present
Steward Partners Investment Solutions, Llc Ft. Collins CO 05/2022 Present
  • 03/2008 → 02/2021
    Rbc Capital Markets Corporation
    Fort Collins, CO
  • 02/2021 → 05/2022
    Raymond James Financial Services, Inc
    Washington, DC
  • 02/2021 → Present
    Steward Partners Global Advisory Llc
    Ft. Collins, CO
  • 02/2021 → Present
    Ft. Collins, CO
  • 05/2022 → Present
    Steward Partners Investment Solutions, Llc
    Ft. Collins, CO
Previous Registrations
Other Businesses

(1) Name of Business: Address: 1312 Sioux Blvd , Fort Collins, CO, 80526, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 03/15/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner - Collect Rent / Pay Taxes (2) Name of Business: Big Horn Property LLC Address: 6921 Wildshore Dr, Timnath, CO, 80547, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 10/15/2013 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-Owner - Collect Rent/Pay Taxes (3) Name of Business: Boy Scouts America - Larimer County Address: 2215 23rd Ave , Greeley, CO, 80634, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member Investment Related: Yes Start Date: 09/15/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board Member quarterly board meetings (4) Name of Business: Harmony Private Wealth at Steward Partners Address: 2580 E Harmony Rd Ste 301, Fort Collins, CO, 82528, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/25/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Wealth Advisor (5) Name of Business: Harmony Property LLC Address: 6921 Wildshore Dr, Timnath, CO, 80547, United States Activity Type: Rental Real Estate Position/Title: Other, Partner Investment Related: Yes Start Date: 10/21/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-Owner (6 Name of Business: S&H Cattle LLC Address: 6921 Wildshore Dr, Timnath, CO, 80547, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 12/15/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-Owner collect information for yearly taxes. (7) Name of Business: Steward Partners Global Advisory Address: 2950 e Harmony Rd # 250, Fort Collins, CO, 80528, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/25/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: insurance agent. (8) Name of Business: 4009 Cleveland LLC; Activity Type: LLC for real estate rental; City/State: Wellington, CO; Postion/Title: Member of LLC; Start Date: 07/16/2024; 1-2 hrs/mo devoted to this activity; 1 hr/mo devoted to this activity during trading hours; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-29
S63 Uniform Securities Agent State Law Examination 1984-06-08
  • S66 Uniform Combined State Law Examination
    2002-04-29
  • S63 Uniform Securities Agent State Law Examination
    1984-06-08
Designations
Other Names
  • Mike Stradt

View on SEC IAPD

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