Steven J. Spain
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2022 - July 11, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 3, 2018 - July 11, 2023
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
May 3, 2018 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2003 - May 8, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 8, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 26, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1984 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 30, 1978 - May 2, 1984
KIDDER, PEABODY & 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 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 8
Date: 1/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
