William J. 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.
William John Stewart, who also goes by Bill Stewart, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 53 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 4, 2016 - May 25, 2016
PNC CAPITAL ADVISORS LLC
April 23, 2015 - June 1, 2016
FORESIDE DISTRIBUTION SOLUTIONS, LLC
March 27, 2015 - March 9, 2016
PNC CAPITAL ADVISORS LLC
August 14, 2013 - May 27, 2014
GALLATIN CAPITAL LLC
January 22, 2010 - April 11, 2011
J.J.B. HILLIARD, W.L. LYONS, LLC
October 22, 2007 - April 11, 2011
HILLIARD LYONS CAPITAL MANAGEMENT, LLC
September 11, 2006 - January 29, 2008
J.J.B. HILLIARD, W.L. LYONS, LLC
July 15, 2005 - February 15, 2006
AT INVESTOR SERVICES, INC.
May 20, 1999 - July 15, 2005
GPC SECURITIES, INC.
November 4, 1991 - November 21, 1997
WACHOVIA BROKERAGE SERVICE
February 15, 1988 - October 11, 1989
LEHMAN BROTHERS INC.
September 26, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
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
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 573 |
| AUM (Assets Under Management) | $ 42,558,194,728 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 08/24/2023 | ||
| 09/28/2022 |
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.
