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ASHA JAIN
ASHA TEWARI
CRD#: 1659254
IA
Investment Adviser
B
Broker
STRATOS WEALTH PARTNERS, LTDCRD#: 153184 6909 E GREENWAY PARKWAY
SUITE 295
SCOTTSDALE, AZ 85254
LPL FINANCIAL LLCCRD#: 6413 6909 E GREENWAY PKWY, STE 295
SCOTTSDALE, AZ 85254
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)1998 - 2016 (18 years)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1994 - 1998 (4 years)BDICKINSON & CO. (CRD# 689)1990 - 1994 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1989 - 1990 (1 year)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1987 - 1989 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2000 - 2016 (16 years)
Disclosure(s)
View By:
6/16/2006
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/10/2016

B
Nevada 11/10/2016

IA
Arizona 11/10/2016

B
New Jersey 3/24/2023

B
California 11/10/2016

B
Texas 11/10/2016

B
Florida 11/10/2016

IA
Texas 11/10/2016

B
Illinois 11/10/2016

B
Virginia 11/10/2016

IA
Louisiana 11/14/2016

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STRATOS WEALTH PARTNERS, LTD (CRD#:153184)
6909 E GREENWAY PARKWAY SUITE 295, SCOTTSDALE, AZ 85254
Registered with this firm since 11/10/2016

B
LPL FINANCIAL LLC (CRD#:6413)
6909 E GREENWAY PKWY, STE 295, SCOTTSDALE, AZ 85254
Registered with this firm since 11/10/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/18/2000 - 11/11/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) SCOTTSDALE, AZ
B
05/11/1998 - 11/11/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) SCOTTSDALE, AZ
B
04/25/1994 - 05/11/1998 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
B
10/02/1990 - 04/28/1994 DICKINSON & CO. (CRD#:689)
FINRA expelled the firm on 04/07/1998
DES MOINES, IA
B
05/17/1989 - 08/31/1990 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
05/21/1987 - 06/14/1989 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.