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JS

John W. Stewart

STONEX FINANCIAL
New York, NY 10169
CRD#: 1646614
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JS
John Wheeler StewartSTONEX FINANCIAL

Professional summary

John Wheeler Stewart, who also goes by John W Stewart, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John W Stewart

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Wheeler Stewart's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 24, 2020 - Present

STONEX FINANCIAL INC.

Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169
BD
CRD#: 45993
New York, NY
Past

November 6, 2017 - January 24, 2019

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
NEW YORK, NY
Past

September 26, 2013 - March 29, 2017

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

October 23, 2012 - September 16, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

March 28, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

February 22, 2010 - March 29, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 16, 2008 - February 23, 2010

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

February 22, 2005 - July 1, 2008

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

April 29, 2004 - March 4, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

March 29, 1999 - May 7, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 23, 1988 - December 10, 1998

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/3/2024)
RR
Alaska
(1/3/2024)
RR
Arizona
(1/3/2024)
RR
Arkansas
(1/3/2024)
RR
California
(1/3/2024)
RR
Colorado
(1/3/2024)
RR
Connecticut
(1/3/2024)
RR
Delaware
(1/3/2024)
RR
District of Columbia
(1/3/2024)
RR
Florida
(1/3/2024)
RR
Georgia
(1/3/2024)
RR
Hawaii
(1/3/2024)
RR
Idaho
(1/3/2024)
RR
Illinois
(1/3/2024)
RR
Indiana
(1/3/2024)
RR
Iowa
(1/3/2024)
RR
Kansas
(1/3/2024)
RR
Kentucky
(1/3/2024)
RR
Louisiana
(1/3/2024)
RR
Maine
(1/3/2024)
RR
Maryland
(11/24/2020)
RR
Massachusetts
(11/24/2020)
RR
Michigan
(1/3/2024)
RR
Minnesota
(1/3/2024)
RR
Mississippi
(1/3/2024)
RR
Missouri
(1/3/2024)
RR
Montana
(1/3/2024)
RR
Nebraska
(1/3/2024)
RR
Nevada
(1/3/2024)
RR
New Hampshire
(1/3/2024)
RR
New Jersey
(11/24/2020)
RR
New Mexico
(1/3/2024)
RR
New York
(11/24/2020)
RR
North Carolina
(1/3/2024)
RR
North Dakota
(1/3/2024)
RR
Ohio
(1/3/2024)
RR
Oklahoma
(1/3/2024)
RR
Oregon
(1/3/2024)
RR
Pennsylvania
(11/24/2020)
RR
Puerto Rico
(1/3/2024)
RR
Rhode Island
(1/3/2024)
RR
South Carolina
(1/3/2024)
RR
South Dakota
(1/3/2024)
RR
Tennessee
(1/3/2024)
RR
Texas
(1/3/2024)
RR
Utah
(1/3/2024)
RR
Vermont
(1/3/2024)
RR
Virgin Islands
(1/3/2024)
RR
Virginia
(1/3/2024)
RR
Washington
(1/3/2024)
RR
West Virginia
(1/3/2024)
RR
Wisconsin
(1/3/2024)
RR
Wyoming
(1/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Loading...

Contact information

Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHPRESIDENT/DIRECTOR/CEO SECURITIES4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event76

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.

Company Information

STONEX FINANCIAL INC.

CRD#: 45993New York, NY 10169

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