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Steven J. Spain
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CRD#: 852552
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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.
Steven Joseph Spain, who also goes by Steve Spain, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1978. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Spain
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: Insurance Business Address: 1155 Elm St Fl 4, Manchester, NH, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: No Start Date: 05/03/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Install insurance products listed (2)Name of Business: McCormick Wealth Management Group of Steward Partners Address: 1155 Elm St., Manchester, NH, 03101, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/03/2018 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Provide Wealth Management planning to clients (3)Name of Business: McCormick Wealth Management of Steward Partners Address: 1155 Elm St Fl 4, Manchester, NH, 03104, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/01/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor (4)Name of Business: Steward Partners Global Advisory Address: 1155 Elm St Fl 4, Manchester, NH, United States Activity Type: Support Company - Non Owner Position/Title: Investment Related: No Start Date: 05/03/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide investment advice to clients (5)Name of Business: Steward Partners Investment Advisory LLC Address: 1155 Elm St Fl 4, Manchester, NH, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: No Start Date: 05/03/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide investment advice to clients
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 - July 11, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
MANCHESTER, NH
Past
May 3, 2018 - July 11, 2023
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
Manchester, NH
Past
May 3, 2018 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MANCHESTER, NH
Past
July 1, 2003 - May 8, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MANCHESTER, NH
Past
July 1, 2003 - May 8, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MANCHESTER, NH
Past
January 26, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
MANCHESTER, NH
Past
April 23, 1984 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 30, 1978 - May 2, 1984
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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
General Industry/Product Exam
RR
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/8/1987
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.
