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Advisor at STEWARD PARTNERS INVESTMENT ADVISORY, LLC
Sarasota, FL | STAMFORD, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | Bd affiliated wealth | Jun 5, 2026 | n/a | yes | Sarasota, FL|Sarasota, FL|STAMFORD, CT | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 1, 2016 | Jun 16, 2026 | no | NEW YORK, NY|SARASOTA, FL|Sarasota, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Feb 4, 2016 | Dec 2, 2016 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STEWARD PARTNERS INVESTMENT ADVISORY, LLC | Jun 16, 2026 | Jun 5, 2026 | -11 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Dec 2, 2016 | Dec 1, 2016 | -1 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:283004:FL:2026-06-16 | Jun 16, 2026 | Jun 5, 2026 | SARASOTA, FL | Firm change |
| 7691:8174:NY:2016-12-02 | Dec 2, 2016 | Dec 1, 2016 | NEW YORK, NY | Firm change |