Stuart A. Evans
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stuart Ashley Evans was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1993. Stuart had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - March 8, 2016
LADENBURG THALMANN ASSET MANAGEMENT INC
June 4, 2012 - March 8, 2016
LADENBURG THALMANN & CO. INC.
January 27, 2009 - May 21, 2012
BRECEK & YOUNG ADVISORS, INC.
January 27, 2009 - July 6, 2010
BRECEK & YOUNG ADVISORS, INC.
January 23, 2009 - January 26, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - June 1, 2012
SECURITIES AMERICA, INC.
August 16, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
August 16, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
March 19, 2003 - July 31, 2007
LEGACY ADVISORY SERVICES, INC.
February 26, 2003 - August 3, 2007
LEGACY FINANCIAL SERVICES, INC.
December 15, 1999 - June 14, 2002
NATIONAL PLANNING CORPORATION
July 22, 1999 - January 5, 2000
FIRST ALLIED SECURITIES, INC.
November 17, 1993 - July 30, 1999
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
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.
