Steven R. Sellers

NED DAVIS RESEARCH

Sarasota, FL 34233

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CRD#: 4587117

Professional summary

Steven Russell Sellers, who also goes by Steven R Sellers, is a registered financial advisor currently at NED DAVIS RESEARCH, INC. located in Sarasota, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven R Sellers

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 Steven Russell Sellers'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

September 6, 2012 - Present

NED DAVIS RESEARCH, INC.

Office #1: 3665 Bee Ridge Road Suite 306, Sarasota, FL 34233

RIA

CRD#: 112260

Sarasota, FL

Past

April 28, 2006 - April 12, 2007

PFIC ADVISORS, INC.

RIA

CRD#: 138007

FRANKLIN, TN

Past

September 29, 2005 - July 7, 2006

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

November 28, 2002 - July 27, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ROCKVILLE, MD

Past

November 11, 2002 - July 27, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

NED DAVIS RESEARCH, INC.

NDR | NED DAVIS RESEARCH, INC. | NED DAVIS RESEARCH GROUP

CRD#: 112260 / SEC#: 801-60241

RIA

Registered Investment Advisory firm - (5/31/2001 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/3/2012 Terminated)

Illinois

Registered Investment Advisory firm - (10/5/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (12/19/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(9/6/2012)

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: 8/24/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/27/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/8/2002

General Securities Representative Examination

Current Firm

NED DAVIS RESEARCH, INC.

NDR | NED DAVIS RESEARCH, INC. | NED DAVIS RESEARCH GROUP

CRD#: 112260 / SEC#: 801-60241

RIA

Registered Investment Advisory firm - (5/31/2001 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/3/2012 Terminated)

Illinois

Registered Investment Advisory firm - (10/5/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (12/19/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2012 Terminated)

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Contact information

Main Address

3665 Bee Ridge Road Suite 306, Sarasota, FL 34233

Mailing Address

Phone number

(941) 412-2300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NDR 2024 ADV PART 2A (12/18/2024)

NDR 2024 ADV PART 2A, ITEM 18 (12/18/2024)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 248,514

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

Steven R. Sellers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Russell Sellers's CRS (Customer Relationship Summary).

Certified licenses

Experience

PFIC ADVISORS, INC.

PFIC SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NED DAVIS RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2012

Series 66

Date: 11/27/2002

Series 7

Date: 11/8/2002

Current Firm

NED DAVIS RESEARCH, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NED DAVIS RESEARCH, INC.

TRUST BUT VERIFY

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