Nathaniel M. Stewart
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.
Nathaniel Myers Stewart, who also goes by Nat Stewart, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1983. Nathaniel had worked at 5 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2000 - December 31, 2002
LEGACY FINANCIAL SERVICES, INC.
November 29, 1993 - November 14, 1994
WS GRIFFITH SECURITIES, INC.
March 25, 1986 - November 29, 1993
VP DISTRIBUTORS LLC
March 9, 1984 - February 10, 1986
MML INVESTORS SERVICES, LLC
August 25, 1983 - February 11, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
Current Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
