Robert T. Stewart
Professional summary
Robert Trevlin Stewart JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Robert had worked at 6 firms, which includes SUMMIT BROKERAGE SERVICES INC., NATIONAL SECURITIES CORPORATION, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JOSEPHTHAL & CO. INC., H.J. MEYERS & CO. INC., F.N. WOLF & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2003 - January 5, 2004
SUMMIT BROKERAGE SERVICES, INC.
July 13, 2001 - April 3, 2003
NATIONAL SECURITIES CORPORATION
April 4, 2001 - July 2, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 19, 1998 - April 6, 2001
JOSEPHTHAL & CO., INC.
March 8, 1994 - October 5, 1998
H.J. MEYERS & CO., INC.
July 20, 1988 - March 15, 1994
F.N. WOLF & CO., 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
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