Stephen M. Ross

TRADEWINDS

Raleigh, NC 27612

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CRD#: 1012842

Professional summary

Stephen Miles Ross is a registered financial advisor currently at TRADEWINDS, LLC located in Raleigh, North Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Miles Ross's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 4, 2022 - Present

TRADEWINDS, LLC

Office #1: 4600 Marriott Dr. Suite 200, Raleigh, NC 27612

RIA

CRD#: 316415

Raleigh, NC

Past

August 3, 2010 - January 26, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BURLINGTON, NC

Past

August 3, 2010 - January 26, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BURLINGTON, NC

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

RIA

CRD#: 149777

GREENSBORO, NC

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

CRD#: 149777

GREENSBORO, NC

Past

July 2, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GREENSBORO, NC

Past

July 2, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GREENSBORO, NC

Past

September 12, 2002 - July 7, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BURLINGTON, NC

Past

January 24, 1994 - July 7, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 22, 1982 - January 4, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 21, 1982 - April 30, 1982

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(2/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/9/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/5/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/26/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 Approved)

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Contact information

Main Address

4600 Marriott Dr. Suite 200, Raleigh, NC 27612

Mailing Address

Phone number

(919) 571-2833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADEWINDS 2A (10/24/2025)

Regulatory assets under management

Total Number of Accounts	1,633
AUM (Assets Under Management)	$ 560,186,183

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Miles Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TRADEWINDS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2002

Series 63

Date: 7/30/1982

SIE

Date: 10/1/2018

Series 31

Date: 1/9/1997

Series 7

Date: 7/17/1982

Series 9

Date: 2/5/2001

Series 10

Date: 1/26/2001

Current Firm

TRADEWINDS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADEWINDS, LLC

TRUST BUT VERIFY

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