JS
John W. Stewart
STONEX FINANCIAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 1646614
JS
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.
CRS (Client Relationship Summary) - BD
Click below to view John Wheeler Stewart's 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®
NoneExperience
Current
November 24, 2020 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169BD
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
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
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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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
