Stephen Ross has been an investment adviser representative at Tradewinds since February 2022, and is not listed among the firm’s executive officers or direct owners.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
Stephen Ross’ longest registration was 11 years at Wells Fargo Clearing Services, LLC (2010–2022). Before joining Tradewinds in 2022, Stephen Ross was registered through Wells Fargo Clearing Services, LLC and Morgan Stanley Smith Barney LLC.
- Wells Fargo Clearing Services, LLC– · 11 yearsBurlington, NC · Adviser representative · Firm CRD 19616
- Morgan Stanley Smith Barney LLC– · 1 yearGreensboro, NC · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 4 yearsGreensboro, NC · Adviser representative · Firm CRD 7059
- Merrill Lynch Pierce Fenner & Smith Inc.– · 1 yearBurlington, NC · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Stephen Ross is registered as an investment adviser representative in North Carolina, since February 2022.
- North CarolinaSince 4 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 27 August 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 5 February 2001 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 26 January 2001 |
| Series 31 | Futures Managed Funds Examination | 9 January 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 July 1982 |
| Series 7 | General Securities Representative Examination | 17 July 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Miles Ross
- CRD
- 1012842
- Firm
- Tradewinds · CRD 316415
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- June 1982
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Ross work?
Stephen Ross is an investment adviser representative registered through Tradewinds, LLC since February 2022, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Ross a financial advisor?
Yes. Stephen Ross has a current investment-adviser registration in North Carolina, through Tradewinds since February 2022.
How many years of experience does Stephen Ross have?
Stephen Ross has 44 years in the financial industry, since June 1982, across 5 adviser firms.
What exams has Stephen Ross passed?
Stephen Ross has passed 6 licensing exams: the Series 7, Series 63, Series 31, Series 10, Series 9 and Series 65. The earliest, the Series 7, was passed in July 1982. FINRA credited Stephen Ross with the SIE, which began in October 2018.
Where did Stephen Ross work before Tradewinds?
Before Tradewinds, Stephen Ross was registered through Wells Fargo Clearing Services, LLC, August 2010 to January 2022; Morgan Stanley Smith Barney LLC, June 2009 to August 2010; Citigroup Global Markets Inc., July 2004 to June 2009; Merrill Lynch Pierce Fenner & Smith Inc., September 2002 to July 2004.
Where is Stephen Ross based?
Stephen Ross’ registered office is in Raleigh, NC.
Is Stephen Ross registered with FINRA?
No. Stephen Ross has no current broker registration.
How can I verify Stephen Ross’ record?
Search CRD 1012842 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Ross’ full registration record.
