Regulatory Information & Disclosures

 

Form CRS

Broker Dealer and Registered Investment Advisor Form CRS

Steward Partners Investment Advisory Form CRS

 

Fee Schedules

Steward Partners Investment Solutions Fee Schedule (Raymond James) – June 2024

Steward Partners Investment Solutions Fee Schedule (Pershing) – April 1, 2024

 

Regulation Best Interest Disclosures

Steward Partners Investment Solutions

 

Firm Brochures

Steward Partners Investment Advisory ADV2A Brochure

Steward Partners Investment Solutions ADV2A Brochure

 

Wrap Fee Brochures

Steward Partners Investment Advisory - Raymond James Wrap Fee Program Brochure

Steward Partners Investment Solutions - Pershing & Folio Wrap Fee Program Brochure

Steward Partners Investment Solutions - First Clearing Wrap Fee Program Brochure

 

Privacy Notice

Steward Partners - Privacy Notice

 

Business Continuity Plans

Steward Partners Investment Solutions Business Continuity Plan

Steward Partners Investment Advisory Business Continuity Plan – Link TBD

 

Other Disclosures

Regulatory Disclosure (Raymond James)

Regulatory Disclosure (Pershing)

Regulatory Disclosure (First Clearing/Wells Fargo Clearing Services)

Regulatory Disclosure (Folio Investments/Goldman)

Products and Services

Social Media Disclosure

Indirect Compensation Disclosure

 

SEC Rule 606 requires all brokerage firms to make publicly available reports on their ordering practices. In accordance to Rule 606, please refer to our clearing firms’ order routing statistics:

  • Wells Fargo Clearing Services, LLC ( First Clearing Corporation, LLC) - here.
  • Folio Investments, Inc. (Goldman Sachs) - here.
  • Raymond James & Associate, Inc. - here.
  • Pershing - here