Stuart J. Strumwasser
Professional summary
Stuart Jay Strumwasser is a registered financial professional currently at BA SECURITIES, LLC located in New York, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1990. Stuart has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 82 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Jay Strumwasser's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2023 - Present
BA SECURITIES, LLC
Office #1: 139 Fulton Street, Suite 130-c, New York, NY 10038May 7, 2019 - December 31, 2022
DALMORE GROUP LLC
September 21, 2017 - May 2, 2019
STILLPOINT CAPITAL, LLC
September 16, 2011 - August 18, 2017
LPE SECURITIES, LLC
June 14, 2007 - March 7, 2011
THE SILVERFERN GROUP, INC.
July 27, 2005 - February 6, 2006
OPPENHEIMER & CO. INC.
January 3, 2003 - February 6, 2006
OPPENHEIMER & CO. INC.
February 16, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 13, 1995 - March 2, 2001
ADVEST, INC.
June 29, 1992 - February 14, 1995
GRUNTAL & CO., L.L.C.
March 20, 1990 - June 29, 1992
UBS FINANCIAL SERVICES 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
(1/4/2023)
(1/4/2023)
(1/4/2023)
(4/23/2024)
(7/18/2023)
(2/2/2023)
(1/4/2023)
(4/26/2024)
(1/4/2023)
(1/4/2023)
(7/25/2023)
(1/4/2023)
(1/4/2023)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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