William M. Stewart

WMS GROUP LLC

Folsom, LA

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CRD#: 2231632

Professional summary

William Michael Stewart, AIF®, who also goes by Mike Stewart, is a registered financial advisor currently at WMS GROUP LLC located in Folsom, Louisiana.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. William has worked at 7 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike 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.

WMS GROUP/OWNER - LICENSED WITH VARIOUS INSURANCE COMPANIES FOR LIFE, HEALTH, FIXED ANNUITIES.START DATE 5/1/08, 0HRS PER MONTH, NOT INVESTMENT RELATED. Miracle Children's Foundation; Vice President; Non Investment Related; 14249 Thompson Rd Folsom Louisiana 70437; Description: A non profit foundation that gives IPads to children that have cancer and are in the hospital.; Responsibilities: Fundraising and organization of activities; Start date: 2024-12-04; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; Contact person at the organization: Richard Newman; Website address for the organization: www.miraclechildrens.org.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 28, 2012 - Present

WMS GROUP LLC

RIA

CRD#: 164327

Folsom, LA

Past

February 29, 2008 - July 19, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

COVINGTON, LA

Past

February 29, 2008 - July 19, 2012

BROKERSXPRESS LLC

CRD#: 127081

COVINGTON, LA

Past

December 2, 2005 - March 7, 2008

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

COVINGTON, LA

Past

November 12, 2001 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

November 12, 2001 - March 7, 2008

ONEAMERICA SECURITIES, INC.

CRD#: 4173

COVINGTON, LA

Past

April 23, 2001 - December 14, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

August 7, 1992 - April 17, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 7, 1992 - April 17, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(6/28/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/10/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/5/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WMS GROUP LLC

CRD#: 164327 / SEC#:

Louisiana

Registered Investment Advisory firm - (6/28/2012 Approved)

Texas

Registered Investment Advisory firm - (5/24/2012 Conditional Restricted)

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Contact information

Main Address

Folsom, LA

Mailing Address

Phone number

(985) 809-0530

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	478
AUM (Assets Under Management)	$ 108,068,533

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.

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Firm Stability Insights

William M. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael Stewart's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKERSXPRESS LLC

BROKERSXPRESS LLC

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

EQUITABLE ADVISORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2001

Series 7

Date: 3/10/2000

Series 6

Date: 8/5/1992

Current Firm

WMS GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WMS GROUP LLC

TRUST BUT VERIFY

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