The Ross Group — RALEIGH, NC
Marketing BrandAt The Ross Group, we are very proud that Financial Advisor Steve Ross was named a Forbes Best-In-State Wealth Advisor in 2023 and 2024. It's an honor to ... Operating under TRADEWINDS, LLC (CRD #316415).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “The Ross Group,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is TRADEWINDS, LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to The Ross Group — it reflects the regulatory profile of TRADEWINDS, LLC.
What This Means
The firm behind this brand has strong transparency practices. Their regulatory filings show comprehensive disclosure across fees, conflicts, and services.
This places them in the 83th percentile of all scored firms.
This firm's regulatory filings show comprehensive disclosure. The full firm profile has the details.
See full score breakdownRegulatory Context
Regulatory oversight is under TRADEWINDS, LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 11 firm advisors use this brand
TRADEWINDS, LLC has 11 total registered advisors. Only 1 operates under the The Ross Group brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the The Ross Group brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.