Stewart V. Wortham
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.
Stewart Vincent Wortham was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1994. Stewart had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2017 - July 9, 2018
COHEN & COMPANY SECURITIES, LLC
April 27, 2007 - April 2, 2015
TRUIST SECURITIES, INC.
April 18, 2006 - December 13, 2006
RBC CAPITAL MARKETS, LLC
November 4, 2004 - April 18, 2006
STEPHENS
September 18, 1996 - November 5, 2004
NBC CAPITAL MARKETS GROUP, INC.
August 12, 1996 - September 3, 1996
NBC CAPITAL MARKETS GROUP, INC.
April 5, 1995 - August 14, 1996
TRI-STAR FINANCIAL
September 1, 1994 - April 3, 1995
HART SECURITIES, INC.
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
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
