Hercules D. Stewart
Professional summary
Hercules Dorn Stewart III, who also goes by Hercules Dorn Stewart III, Hercules Dorn Stewart, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in New York, New York.
Hercules is registered as a RR (Registered Representative) and started their career in finance in 2005. Hercules has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hercules Dorn Stewart III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2022 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 40 Wall Street 39th Floor, New York, NY 10005November 10, 2022 - December 31, 2024
PAULSON INVESTMENT ADVISORS, LLC
July 15, 2021 - June 28, 2022
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
March 23, 2021 - June 28, 2022
ALEXANDER CAPITAL, L.P.
June 10, 2005 - January 4, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2024)
(2/21/2023)
(8/8/2022)
(6/30/2022)
(3/26/2024)
(8/9/2022)
(8/24/2022)
(3/22/2024)
(3/22/2024)
(3/21/2024)
(6/30/2022)
(6/30/2022)
(7/6/2022)
(8/18/2022)
Exams
Series 79TO
Date: 9/6/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 3/23/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
