Theodore E. Larson
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.
Theodore E Larson II was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1966. Theodore had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 00 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 - January 16, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
November 28, 2017 - January 16, 2024
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
November 2, 2017 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2003 - November 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 21, 1966 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 20, 1966 - February 27, 1976
BACHE & CO., INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 12/19/1966
Registered Representative ExaminationSeries 00
Date: 3/26/1973
General Securities Principal ExaminationCurrent 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.
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