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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JAMES RUSSELL FORSYTH

Advisor at STEWARD PARTNERS INVESTMENT ADVISORY, LLC

VALENCIA, CA | STEVENSON RANCH, CA | STAMFORD, CT

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Search this name across graphsid dfx:ria:8203f523-16dd-c694-ed48-b5974c824b5b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 24, 1998 to Sep 15, 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: STEWARD PARTNERS INVESTMENT ADVISORY, LLC
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: Sep 19, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Sep 19, 1997
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: JAMES RUSSEL FORSYTH|JAMES RUSSELL FORSYTH|JAMES RUSSELL RUSSELL FORSYTH
IAPD individual key: 2924150

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
STEWARD PARTNERS INVESTMENT ADVISORY, LLC	Bd affiliated wealth	Jun 10, 2024	n/a	yes	VALENCIA, CA\|STAMFORD, CT\|STEVENSON RANCH, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 1, 2011	Mar 15, 2023	no	VALENCIA, CA\|Sherman Oaks, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 12, 2011	no	VALENCIA, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	VALENCIA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Apr 2, 2007	no	VALENCIA, CA\|VALENCIA, CA	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
UBS FINANCIAL SERVICES INC.	STEWARD PARTNERS INVESTMENT ADVISORY, LLC	Mar 15, 2023	Jun 10, 2024	453	Firm change after gap	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Dec 12, 2011	Dec 1, 2011	-11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STEWARD PARTNERS INVESTMENT ADVISORY, LLCRegistered adviserregistration: current employment
Jun 10, 2024 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 1, 2011 to Mar 15, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 12, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Apr 2, 2007factForm ADV

Dated events

Occurred
Mar 15, 2023
Advisor changed firm
James Russell Forsyth left Ubs Financial Services Inc. for Steward Partners Investment Advisory, Llc (registered 2024-06-10)
Form ADVobserved 6 days ago