Sander Kafetz

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CRD#: 852790

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.

Sander Kafetz was a registered financial professional .

Sander is a previously registered financial professional and started their career in finance in 1978. Sander had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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: Friedman Wong Kafetz Group Address: 7550 Wisconsin Ave Ste 420, Bethesda, MD, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 11/15/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor (2)Name of Business: Steward Partner Investment Advisory LLC Address: 7550 Wisconsin Ave Ste 420, Bethesda, MD, 20814, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 12/15/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Advisory services for clients (3)Name of Business: Steward Partners Global Advisory LLC Address: 7550 Wisconsin Ave Ste 420, Bethesda, MD, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/15/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor

Blog Corner

CRS (Client Relationship Summary)

February 14, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WASHINGTON, DC

Past

June 1, 1978 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WASHINGTON, DC

Date: 5/20/1978

General Securities Representative Examination

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254 / SEC#: 801-67179, 8-2915

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

STEWARD PARTNERS INVESTMENT SOLUTIONS PART 2A (5/22/2024)

FORM ADV PART 2A APPENDIX 1B - FCC (3/28/2024)

FORM ADV PART 2A APPENDIX 1A - PERSHING & FOLIO (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
STEWARD PARTNERS HOLDINGS, LLC	OWNER
ACHKIRE, DEBRA VOLLAND	COUNSEL	4898647
FABER, JOSEPH S	CHIEF FINANCIAL OFFICER	4834049
GULDNER, ROBERT JOHN	CHIEF COMPLIANCE OFFICER	2283980
MARTINEZ, ROBERTO ANTONIO	AML OFFICER	2991605
WINTERBOURNE, JEANI THERESA	PRESIDENT	1075564

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	Cover Page	Report

Red Flags

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Contact information

xxxxx@xxxx.xxx

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Sander Kafetz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2000

Series 63

Date: 2/20/1980

SIE

Date: 10/1/2018

Series 5

Date: 12/12/1981

Series 7

Date: 5/20/1978

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

Contact information

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