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WS

Wayne C. Stewart

REALTA EQUITIES
Covington, KY 41011
Some features on this profile are disabled
CRD#: 2462780
WS

Professional summary


Wayne Craig Stewart, who also goes by W C Stewart, is a registered financial professional currently at REALTA EQUITIES, INC. located in Covington, Kentucky.

Wayne is registered as a RR (Registered Representative) and started their career in finance in 1994. Wayne has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


W C 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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Wayne Craig Stewart'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

April 24, 2012 - Present

REALTA EQUITIES, INC.

Office #1: 525 W 5th Street Suite #334, Covington, KY 41011
BD
CRD#: 23769
Covington, KY
Past

January 21, 1999 - May 16, 2012

SIMPLY MONEY ADVISORS

RIA
CRD#: 106619
CRESCENT SPRINGS, KY
Past

August 3, 1995 - April 27, 2012

OSAIC WEALTH, INC.

BD
CRD#: 23131
COVINGTON, KY
Past

October 8, 1994 - June 5, 1996

MW MANAGEMENT COMPANY

BD
CRD#: 30014
EUCLID, OH
Past

August 22, 1994 - August 9, 1995

R. H. YORK & COMPANY, INC.

BD
CRD#: 30099
COVINGTON, KY
Past

April 8, 1994 - September 21, 1994

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN

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
Indiana
(4/24/2012)
RR
Kentucky
(4/24/2012)
RR
Ohio
(4/24/2012)
RR
West Virginia
(1/16/2025)

Exams


State Security Law Exam
RR
Series 63
Date: 4/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

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


Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# 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#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures


Regulatory Event7

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


REALTA EQUITIES, INC.

CRD#: 23769Covington, KY 41011

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