2020066397201 Steward Partners Investment Solutions, Inc. CRD 1254 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066397201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steward Partners Investment Solutions, Inc., formerly known as Umpqua Investments, Inc. (Respondent) Member Firm CRD No. 1254 Pursuant to FINRA Rule 9216, Respondent Steward Partners Investment Solutions, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CMFA

Certified Military Financial Advisor (CMFA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Dalton Education, a CeriFi company
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, self-study materials
Designation Exam Type

Online, open book exam for each training module
Continuing Education Requirements

8 hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None
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