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Michael Anthony Mora

Steward Partners Investment Advisory, LLC

Stamford, CT

Los Angeles, CA

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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 2025-01-02
CA RA APPROVED 2024-12-05
TX RA APPROVED 2024-12-05
  • LA RA
    APPROVED
    Since 2025-01-02
  • CA RA
    APPROVED
    Since 2024-12-05
  • TX RA
    APPROVED
    Since 2024-12-05

Branch Locations

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

1800 Century Park East Suite 230, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Los Angeles CA 01/2018 12/2024
Catalina Structured Funding La Canada CA 07/2017 12/2017
University Of Oregon Eugene OR 09/2013 06/2017
Steward Partners Global Advisory, Llc Los Angeles CA 12/2024 Present
Steward Partners Investment Solutions, Llc Los Angeles CA 12/2024 Present
Steward Partners Investment Advisory, Llc Los Angeles CA 12/2024 Present
  • 01/2018 → 12/2024
    Lpl Financial Llc
    Los Angeles, CA
  • 07/2017 → 12/2017
    Catalina Structured Funding
    La Canada, CA
  • 09/2013 → 06/2017
    University Of Oregon
    Eugene, OR
  • 12/2024 → Present
    Steward Partners Global Advisory, Llc
    Los Angeles, CA
  • 12/2024 → Present
    Steward Partners Investment Solutions, Llc
    Los Angeles, CA
  • 12/2024 → Present
    Steward Partners Investment Advisory, Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-18
  • S66 Uniform Combined State Law Examination
    2023-07-18
Other Names
  • Michael Mora

View on SEC IAPD

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Other Offices

COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
K2/D&S MANAGEMENT CO., L.L.C. · STAMFORD, CT
LONGRANGE CAPITAL, L.P. · STAMFORD, CT
DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
CONCENTRIC CAPITAL STRATEGIES L.P. · STAMFORD, CT
INTEGRA GLOBAL ADVISORS LLC · Stamford, CT
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