Full text of STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/2021 | | AND ENDING 12/31/2021 | |--------------------------------------------|--|-----------------------| | | | | MN MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF ERM: Steward Partners Investment Solutions LLC | | TYPE OF REGISTRANT (check all applicable boxes): | |--|--------------------------------------------------| |--|--------------------------------------------------| @ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 15495 SW Sequoia Parkway Suite 150 | | (No. and Street) | | | |---------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------| | Portland | OR | | 97224 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Jennifer Adelblue | 971-353-7820 | | jennifer.adelblue@stewardpartnersis.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Baker Tilly, US, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | One Penn Plaza Suite 3000 | New York | NY | 10119 | | (Address) | (City) | (State) | (Zip Code) | | 10/22/2003 | | 23 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31. 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | | |-----------------|--| | 8-02915 | | | /DD/YY | | |--------…Read the full text as markdown