David Patrick Stewart

Current Employers

Vanderbilt Advisory Services

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2020-03-05

CT RA
APPROVED

Since 2020-03-05

Branch Locations

Norwalk, CT • United States

125 Froehlich Farm Blvd., Woodbury, NY 11797 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance Associates, Inc.	West Long Beach	NJ	11/2006	02/2020
Investment Advisors Asset Management, Llc	West Long Branch	NJ	09/2007	02/2020
Vanderbilt Securities, Llc	Woodbury	NY	02/2020	Present
Vanderbilt Advisory Services Llc	Woodbury	NY	02/2020	Present

11/2006 → 02/2020

Royal Alliance Associates, Inc.

West Long Beach, NJ
09/2007 → 02/2020

Investment Advisors Asset Management, Llc

West Long Branch, NJ
02/2020 → Present

Vanderbilt Securities, Llc

Woodbury, NY
02/2020 → Present

Vanderbilt Advisory Services Llc

Woodbury, NY

Previous Registrations

2007-09-24 → 2020-03-10

Investment Advisors Asset Management, Llc

West Long Branch, NJ
2019-09-19 → 2020-03-04

Osaic Wealth, Inc.

West Long Branch, NJ

Scottsdale, AZ

Belmar, NJ

Eatontown, NJ
2002-08-26 → 2005-12-14

Second Opinion Financial Services,Llc

Westfield , NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-02-21
S63	Uniform Securities Agent State Law Examination	2001-12-28

S65 Uniform Investment Adviser Law Examination

2002-02-21
S63 Uniform Securities Agent State Law Examination

2001-12-28