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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DAVID PATRICK STEWART

Advisor at VANDERBILT ADVISORY SERVICES

Norwalk, CT | WOODBURY, NY

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Search this name across graphsid dfx:ria:131249ef-ca29-b9f9-3da5-e32b7a900c5b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANDERBILT ADVISORY SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 28, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 28, 2001
First registration: Aug 26, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3238753

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANDERBILT ADVISORY SERVICES	Bd affiliated wealth	Mar 5, 2020	n/a	yes	WOODBURY, NY\|Norwalk, CT	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 19, 2019	Mar 4, 2020	no	WEST LONG BRANCH, NJ\|SCOTTSDALE, AZ\|BELMAR, NJ\|EATONTOWN, NJ	Previous registration
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC	Former SEC adviser	Sep 24, 2007	Mar 10, 2020	no	WEST LONG BRANCH, NJ	Previous registration
SECOND OPINION FINANCIAL SERVICES,LLC	n/a	Aug 26, 2002	Dec 14, 2005	no	WESTFIELD , NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC	OSAIC WEALTH, INC.	Mar 10, 2020	Sep 19, 2019	-173	Firm change after gap	RIA to ibd
OSAIC WEALTH, INC.	VANDERBILT ADVISORY SERVICES	Mar 4, 2020	Mar 5, 2020	1	Firm change	Ibd to ibd
SECOND OPINION FINANCIAL SERVICES,LLC	INVESTMENT ADVISORS ASSET MANAGEMENT, LLC	Dec 14, 2005	Sep 24, 2007	649	Firm change after gap	Other

Relationships

Registered with (4)

→ VANDERBILT ADVISORY SERVICESRegistered adviserregistration: current employment
Mar 5, 2020 to presentfactForm ADV
→ INVESTMENT ADVISORS ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 24, 2007 to Mar 10, 2020factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Sep 19, 2019 to Mar 4, 2020factForm ADV
→ SECOND OPINION FINANCIAL SERVICES,LLCRegistered adviserregistration: previous registration
Aug 26, 2002 to Dec 14, 2005factForm ADV

Dated events

No dated event names this entity yet.