Stewart R. Flink
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 Ross Flink, who also goes by Steward Ross Flink, was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1983. Stewart had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 5, Series 7, Series 53, Series 27, Series 4 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
December 14, 2000 - June 3, 2005
CELADON FINANCIAL GROUP LLC
March 17, 2000 - September 26, 2007
DILLON CAPITAL, INC.
May 31, 1995 - May 19, 1999
CIBC WORLD MARKETS CORP.
July 11, 1989 - May 24, 1995
JMS SECURITIES L.P.
May 12, 1987 - July 21, 1989
J.P. MORGAN SECURITIES LLC
December 21, 1983 - May 13, 1987
GOLDMAN SACHS & CO. LLC
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 15
Date: 5/6/1985
Foreign Currency Options ExaminationSeries 5
Date: 1/6/1984
Interest Rate Options ExaminationCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| 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.
