Our Staff has compiled our research into a database of FINRA Broker Disclosures for Steward Partners Investment Solutions, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Peter Ernest Dolan | 713220 | 2 | 10/13/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Earl Thompson-Mayfield | 2372108 | 1 | 07/11/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bernard Barry Salzman | 409665 | 3 | 03/03/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |