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SU

Stuart L. Updegrove

CEROS FINANCIAL SERVICES
South Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 2273334
SU

Professional summary

Stuart Leighton Updegrove is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in South Norwalk, Connecticut.

Stuart is registered as a RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Stuart Leighton Updegrove'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

January 11, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 50 Washington St. The Penthouse, South Norwalk, CT 06854
BD
CRD#: 37869
South Norwalk, CT
Past

April 3, 2009 - February 4, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
SOUTH NORWALK, CT
Past

August 12, 1996 - April 9, 2009

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY
Past

January 16, 1995 - October 29, 1996

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

August 2, 1994 - January 19, 1995

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

August 23, 1993 - January 7, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 6, 1992 - December 16, 1992

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ

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
(1/13/2022)
RR
Alaska
(2/7/2022)
RR
Arizona
(1/11/2022)
RR
Arkansas
(1/11/2022)
RR
California
(1/11/2022)
RR
Colorado
(2/7/2022)
RR
Connecticut
(1/12/2022)
RR
Delaware
(1/14/2022)
RR
District of Columbia
(1/11/2022)
RR
Florida
(1/11/2022)
RR
Georgia
(2/17/2022)
RR
Hawaii
(4/5/2022)
RR
Idaho
(1/25/2022)
RR
Illinois
(5/23/2022)
RR
Indiana
(3/24/2022)
RR
Iowa
(1/11/2022)
RR
Kansas
(1/11/2022)
RR
Kentucky
(1/11/2022)
RR
Louisiana
(1/11/2022)
RR
Maine
(1/14/2022)
RR
Maryland
(1/11/2022)
RR
Massachusetts
(2/7/2022)
RR
Michigan
(1/11/2022)
RR
Minnesota
(2/11/2022)
RR
Mississippi
(1/14/2022)
RR
Missouri
(2/8/2022)
RR
Montana
(2/11/2022)
RR
Nebraska
(1/11/2022)
RR
Nevada
(1/25/2022)
RR
New Hampshire
(1/11/2022)
RR
New Jersey
(1/11/2022)
RR
New Mexico
(1/11/2022)
RR
New York
(1/11/2022)
RR
North Carolina
(2/8/2022)
RR
North Dakota
(1/11/2022)
RR
Ohio
(1/11/2022)
RR
Oklahoma
(1/13/2022)
RR
Oregon
(1/14/2022)
RR
Pennsylvania
(1/11/2022)
RR
Puerto Rico
(1/11/2022)
RR
Rhode Island
(1/11/2022)
RR
South Carolina
(1/24/2022)
RR
South Dakota
(2/2/2022)
RR
Tennessee
(1/11/2022)
RR
Texas
(1/11/2022)
RR
Utah
(1/12/2022)
RR
Vermont
(1/11/2022)
RR
Virginia
(1/24/2022)
RR
Washington
(2/4/2022)
RR
West Virginia
(1/11/2022)
RR
Wisconsin
(1/11/2022)
RR
Wyoming
(1/11/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/17/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869South Norwalk, CT 06854

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