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 |
|---|---|---|---|---|---|---|---|---|
| Tamara A Rasum | 5147930 | 2 | 03/18/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andurea Dawn Alexander | 4322618 | 3 | 07/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andurea Dawn Alexander | 4322618 | 3 | 07/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andurea Dawn Alexander | 4322618 | 3 | 07/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Johnson | 1216677 | 3 | 06/11/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Jay Diamond | 3270881 | 1 | 04/09/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Jeffrey Staadeker | 1556885 | 1 | 03/18/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Kantor | 3093179 | 1 | 12/31/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Banasz | 2309421 | 1 | 12/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Julie Cusson | 2280734 | 1 | 11/26/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |