AS
Alan J. Scalingi
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CRD#: 1200571
AS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan John Scalingi was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) ANDREW SSI LLC - Address: Manchester, NH - Nature of the Business: Rental Real Estate - Position/Title: Rental Real Estate - Investment Related: Yes - Start Date: 04/03/2012 - Hours per month devoted to this business: 5 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Owner of LLC for rental property
2) Steward Partners Investment Advisory LLC - Address: Manchester, NH - Nature of the Business: Independent RIA - Position/Title: Partner - Investment Related: Yes - Start Date: 06/10/2016 - Hours per month devoted to this business: 0 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Investment Advisor.
3)Name of Business : Steward Partners Global Advisory
Address: Manchester, NH
Nature of the Business: Support Company/DBA (Non-Owner)
Position/Title: Advisor
Investment Related:No
Start Date: 04/08/2019
Hours per month devoted to this business: 30
Hours per month devoted to this business during trading hours: 30
Description of duties: Provide investment advice to clients.
4) RSG Wealth Management Group - Address: Manchester, NH - Nature of the Business: Financial Services - Position/Title: Partner - Investment Related:No - Start Date: 07/28/2017 - Hours per month devoted to this business: 0 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Financial Advisor
5) Katherine Scalingi Family Trust - Address: Manchester, NH - Nature of the Business: Trustee - Position/Title: Trustee - Investment Related: Yes - Start Date: 06/17/2016 - Hours per month devoted to this business: 10 - Hours per month devoted to this business during trading hours: 1 - Description of duties: Trustee.
6) Rice Scalingi Wealth Management of Steward Partners.
Address: Manchester, NH
Nature of the Business: Support Company/DBA (Owner)
Position/Title: Support Company/DBA (Owner)
Investment Related:No
Start Date: 09/12/2019
Hours per month devoted to this business: 0
Hours per month devoted to this business during trading hours: 0
Description of duties: Financial Advisor.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 27, 2022 - December 31, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
MANCHESTER, NH
Past
June 13, 2016 - December 31, 2023
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
MANCHESTER, NH
Past
June 10, 2016 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MANCHESTER, NH
Past
June 1, 2009 - July 8, 2016
MORGAN STANLEY
RIA
CRD#: 149777
MANCHESTER, NH
Past
June 1, 2009 - July 8, 2016
MORGAN STANLEY
BD
CRD#: 149777
MANCHESTER, NH
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MANCHESTER, NH
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MANCHESTER, NH
Past
March 25, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MANCHESTER, NH
Past
December 17, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MANCHESTER, NH
Past
September 13, 1985 - December 18, 1990
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
November 18, 1983 - September 20, 1985
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BLAKELY, STRAND & WILLIAMS, INC. | VALENCIA GROUP | UMPQUA WEALTH ADVISORY | UMPQUA INVESTMENTS, INC. | STRAND, ATKINSON, WILLIAMS & YORK, INC. | STRAND, ATKINSON, WILLIAMS & YORK INC. | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | STEWARD PARTNERS GLOBAL ADVISORY, LLC | MILLER FORSYTH GROUP | LINDSEY GROUP | H.L. WIGINTON CAPITAL | GERGEN WEALTH MANAGEMENT | ENSIGN WEALTH PARTNERS
CRD#: 1254 / SEC#: 801-67179, 8-2915
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Mailing Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Phone number
(971) 353-7800
Established
Delaware since 04/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
524
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
