Tiffany N. Soliz
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.
Tiffany N Soliz, who also goes by Tiffany Teal Soliz, Tiffany Soliz, Tiffany Nicole Teal, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 1997. Tiffany had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2022 - August 14, 2025
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
March 22, 2018 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 13, 2005 - April 3, 2018
RBC CAPITAL MARKETS, LLC
May 13, 2005 - April 3, 2018
RBC CAPITAL MARKETS, LLC
April 3, 1997 - May 27, 2005
UBS FINANCIAL SERVICES INC.
March 28, 1997 - May 27, 2005
UBS FINANCIAL SERVICES INC.
February 28, 1997 - December 11, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
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.
