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 |
|---|---|---|---|---|---|---|---|---|
| Margaret Newell Wiley | 5681782 | 1 | 05/28/2020 | Customer Dispute | Settled | $7,811.36 | $0.00 | See FINRA Report |
| Jonathan Adam Dutton | 4993475 | 2 | 12/05/2018 | Customer Dispute | Denied | $25,462.70 | $0.00 | See FINRA Report |
| Bryan Craig Kelly | 4492741 | 2 | 12/05/2018 | Customer Dispute | Denied | $25,462.70 | $0.00 | See FINRA Report |
| Steven Allen Miller | 2953887 | 2 | 08/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tamra Lynn Enriquez | 4697632 | 1 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael James Germano | 4660076 | 2 | 05/02/2017 | Customer Dispute | Denied | $250,815.00 | $0.00 | See FINRA Report |
| William Christopher McShane | 1099025 | 1 | 02/07/2017 | Customer Dispute | Settled | $2,442,590.00 | $0.00 | See FINRA Report |
| David Bernacchia | 1281847 | 1 | 04/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tamara A Rasum | 5147930 | 1 | 03/18/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brad Lee Chumley | 3133581 | 2 | 12/09/2014 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |