Michael C. 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.
Michael Cockayne Stewart was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 66, SIE, Series 2, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - June 12, 2017
ROSS, SINCLAIRE & ASSOCIATES, LLC
November 5, 2004 - December 31, 2005
TREND ADVISORS, INC.
September 11, 1996 - October 11, 2013
GARDNYR MICHAEL CAPITAL, INC.
September 5, 1995 - March 4, 1996
FIRST SOUTHWEST COMPANY, LLC
August 9, 1993 - September 19, 1995
GARDNYR MICHAEL CAPITAL, INC.
February 11, 1992 - June 7, 1993
PRINTON, KANE GROUP, INC.
November 9, 1988 - November 18, 1991
ARCHIPELAGO TRADING SERVICES, INC.
February 10, 1987 - February 29, 1988
M. G. LEWIS & 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
Series 2
Date: 11/20/1992
Non-Member General Securities ExaminationCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
