Michael G. Stuart
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.
Michael George Stuart, AIF®, who also goes by Michael G Stuart, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - October 19, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 3, 2013 - November 18, 2013
CETERA WEALTH SERVICES, LLC
April 12, 2007 - December 31, 2010
TOTAL CLARITY WEALTH MANAGEMENT, INC
November 9, 2005 - December 31, 2010
CETERA WEALTH SERVICES, LLC
February 2, 2005 - November 18, 2013
CETERA WEALTH SERVICES, LLC
September 10, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 10, 1998 - September 13, 2004
EQUITABLE ADVISORS, LLC
September 6, 1994 - January 6, 1997
NATHAN & LEWIS SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
