Stewart T. Simons
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.
Stewart Turner Simons was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1983. Stewart had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2014 - February 29, 2020
FIRST WESTERN ADVISORS
October 7, 2014 - December 31, 2019
FIRST WESTERN ADVISORS
October 6, 2004 - October 1, 2014
ONEAMERICA SECURITIES, INC.
October 5, 2004 - October 1, 2014
ONEAMERICA SECURITIES, INC.
March 3, 2004 - September 28, 2004
ONEAMERICA SECURITIES, INC.
February 12, 2004 - September 28, 2004
ONEAMERICA SECURITIES, INC.
July 11, 1994 - February 2, 2004
FIRST WESTERN ADVISORS
March 16, 1990 - February 2, 2004
FIRST WESTERN ADVISORS
December 19, 1988 - April 11, 1990
FORTRESS FINANCIAL AND PENSION SERVICES INC.
October 19, 1983 - August 18, 1988
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST WESTERN ADVISORS
CRD#: 13623 / SEC#: 801-58158, 8-28729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL SANDS, LLC | MEMBER | |
| TERAN, GARY WAYNE | PRESIDENT / DIRECTOR / CEO | 1076442 |
| ANDERSEN, DEE ALLEN | DIRECTOR | 4360129 |
| BURTON, KIRK WATTIS | DIRECTOR | 6136394 |
| GUNDERSEN, BRIAN EDDINGTON | DIRECTOR | 6136404 |
| HOER, MICHAEL A. | DIRECTOR | 5902282 |
| LUNNEN, ROBERT C | DIRECTOR | 3168314 |
| PUGSLEY, MARK W. | DIRECTOR | 5902284 |
| SMART, DAVID HOLT | DIRECTOR | 6155332 |
| TERAN, JEFFREY WAYNE | FINOP | 4706241 |
| WADE, WILLIAM DAVID | DIRECTOR | 6136276 |
| WALLACE, EMILY MARVA | SECRETARY / TREASURER / DIRECTOR | 2907137 |
| WALLACE, EMILY MARVA | CHIEF COMPLIANCE OFFICER | 2907137 |
| WEISENBURGER, GUY DAVID | DIRECTOR | 6136400 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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