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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

STEVEN SCOTT NOVICK

Advisor at STEWARD PARTNERS INVESTMENT ADVISORY, LLC

STAMFORD, CT | NEW CANAAN, CT | West Palm Beach, FL | JACKSON, WY

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Search this name across graphsid dfx:ria:cb1df075-b2ce-1e1e-ba9b-56e6d8b9f143

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 25, 2000 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: Feb 14, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 14, 1992
First registration: Aug 25, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2187676

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	Feb 7, 2025	n/a	yes	West Palm Beach, FL\|JACKSON, WY\|NEW CANAAN, CT\|STAMFORD, CT	Current employment
NOVICK & COMPANY FINANCIAL GROUP, LLC	Former SEC adviser	Jan 12, 2018	Mar 18, 2025	no	NEW CANAAN, CT\|JACKSON, WY	Previous registration
NOVICK & COMPANY FINANCIAL GROUP, LLC	Former SEC adviser	Sep 15, 2009	Dec 31, 2017	no	NEW CANAAN, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 23, 2006	Sep 11, 2009	no	NEW CANAAN, CT\|MORRISTOWN, NJ\|NEW CANAAN, CT	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Dec 18, 2002	Oct 13, 2006	no	STAMFORD, CT\|STAMFORD, CT	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 25, 2000	Dec 17, 2002	no	DARIEN, CT	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
NOVICK & COMPANY FINANCIAL GROUP, LLC	STEWARD PARTNERS INVESTMENT ADVISORY, LLC	Mar 18, 2025	Feb 7, 2025	-39	Firm change after gap	RIA to ibd
LPL FINANCIAL LLC	NOVICK & COMPANY FINANCIAL GROUP, LLC	Sep 11, 2009	Sep 15, 2009	4	Firm change	Other
EQUITABLE ADVISORS, LLC	LPL FINANCIAL LLC	Oct 13, 2006	Oct 23, 2006	10	Firm change	Other
MORGAN STANLEY DW INC.	EQUITABLE ADVISORS, LLC	Dec 17, 2002	Dec 18, 2002	1	Firm change	Other

Relationships

Registered with (5)

→ STEWARD PARTNERS INVESTMENT ADVISORY, LLCRegistered adviserregistration: current employment
Feb 7, 2025 to presentfactForm ADV
→ NOVICK & COMPANY FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jan 12, 2018 to Mar 18, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 23, 2006 to Sep 11, 2009factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 18, 2002 to Oct 13, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 25, 2000 to Dec 17, 2002factForm ADV

Dated events

Occurred
Mar 18, 2025
Advisor changed firm
Steven Scott Novick left Novick & Company Financial Group, Llc for Steward Partners Investment Advisory, Llc (registered 2025-02-07)
Form ADVobserved 4 days ago