Andrew J. Egber

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CRD#: 1894585

Professional summary

Andrew Joseph Egber was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Andrew had worked at 6 firms, which includes STEWARD PARTNERS INVESTMENT SOLUTIONS LLC, STEWARD PARTNERS INVESTMENT ADVISORY LLC, RAYMOND JAMES FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INC., LEGG MASON WOOD WALKER INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Andy Joseph Egber

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)Name of Business : Steward Partners Investment Advisory LLC Address: 7550 Wisconsin Ave Ste 420,Bethesda, MD Nature of the Business: Independent RIA Position/Title: Advisor Investment Related:Yes Start Date: 01/11/2018 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Wealth Management 2)Steward Partners Global Advisory Address: Bethesda, MD Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related:No Start Date: 01/12/2018 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Wealth management 3). Name of Business : The Egber-Lopez Investment Group Address: Bethesda, MD Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 01/11/2018 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Financial Advisor

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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®

None

Experience

Past

May 27, 2022 - April 18, 2024

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254

BETHESDA, MD

Past

January 12, 2018 - April 18, 2024

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RIA

CRD#: 283004

BETHESDA, MD

Past

January 12, 2018 - May 27, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BETHESDA, MD

Past

October 12, 2009 - January 19, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROCKVILLE, MD

Past

February 27, 2009 - January 19, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROCKVILLE, MD

Past

February 2, 2001 - March 17, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ROCKVILLE, MD

Past

January 24, 1989 - February 7, 2001

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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

IAR

Series 65

Date: 9/18/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254 / SEC#: 801-67179, 8-2915

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

STEWARD PARTNERS INVESTMENT SOLUTIONS PART 2A (5/22/2024)

FORM ADV PART 2A APPENDIX 1B - FCC (3/28/2024)

FORM ADV PART 2A APPENDIX 1A - PERSHING & FOLIO (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
STEWARD PARTNERS HOLDINGS, LLC	OWNER
ACHKIRE, DEBRA VOLLAND	COUNSEL	4898647
FABER, JOSEPH S	CHIEF FINANCIAL OFFICER	4834049
GULDNER, ROBERT JOHN	CHIEF COMPLIANCE OFFICER	2283980
MARTINEZ, ROBERTO ANTONIO	AML OFFICER	2991605
WINTERBOURNE, JEANI THERESA	PRESIDENT	1075564

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	Cover Page	Report

Red Flags

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Firm Stability Insights

Andrew J. Egber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2009

Series 63

Date: 3/9/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1989

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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