Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Winters has been in the financial services industry since 2005. Alice is currently an Associate/Employee at Steward Partners Investment Advisory, LLC and has previously worked at Raymond James Financial Services, Inc, Wells Fargo Advisors, LLC, and Wells Fargo Clearing Services, LLC. Alice has a Series 6, 7, 10, 63 and 65 licenses and is registered with the state of Delaware for IA and the states of California, Colorado, Delaware, District of Columbia, Florida, Hawaii, Illinois, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, South Dakota, Texas, Vermont, Virginia, and Washington for BC. Steward Partners Investment Advisory, LLC is a registered investment advisor with the Securities and Exchange Commission (SEC) and has offices in New York and Midlothian, VA. The firm has over 21,758 clients and over $20 billion in assets under management. Steward Partners Investment Advisory, LLC provides financial planning, pension consulting, selection of other advisors, and portfolio management services to individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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VA
02/05/2021 - Present
Steward Partners Investment Advisory, LLC (Midlothian VA)
VA
02/05/2021 - 05/27/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (MIDLOTHIAN VA)
VA
03/01/2013 - 02/12/2021
WELLS FARGO CLEARING SERVICES, LLC (RICHMOND VA)
VA
08/27/2008 - 03/01/2013
SUNTRUST INVESTMENT SERVICES, INC. (RICHMOND VA)
VA
07/25/2005 - 07/24/2008
METLIFE SECURITIES INC. (RICHMOND VA)
VA
07/25/2005 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (RICHMOND VA)
IA
Issued 11/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/26/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/22/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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