Stuart M. Berwick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stuart Martin Berwick was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1982. Stuart had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2002 - November 1, 2004
MAY FINANCIAL CORPORATION
April 7, 1998 - August 7, 2009
HILLTOP SECURITIES INC.
January 4, 1995 - March 5, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
September 4, 1990 - December 15, 1994
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
December 15, 1986 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
September 9, 1983 - January 1, 1987
TROSTER SINGER CORPORATION
March 17, 1982 - June 3, 1983
TEXAS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
MAY FINANCIAL CORPORATION
CRD#: 3927 / SEC#: , 8-14093
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PARENT | |
| BENNERS, FREDERICK HAGAMAN JR | CEO & PRESIDENT | 2213846 |
| HODGES, STACY MALINDA | VICE PRESIDENT/TREASURER/ CFO | 2544755 |
| KNOWLES, PHYLLIS JEAN | DIRECTOR OF COMPLIANCE | 1275616 |
| SYLVESTER, GORDON ANTHONY | SROP/CROP | 2638444 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VICE PRESIDENT/ GENERAL COUNSEL | 809998 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
