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JS

John W. Stewart

Some features on this profile are disabled
CRD#: 2577199
JS

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.

John Walker Stewart III, who also goes by John Walker Stewart, Walker Stewart, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1995. John had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Walker Stewart | Walker 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 11, 2022 - September 28, 2022

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

January 6, 2022 - April 11, 2022

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
HOUSTON, TX
Past

November 5, 2021 - April 11, 2022

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HOUSTON, TX
Past

April 12, 2006 - June 18, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN ANTONIO, TX
Past

March 27, 2006 - June 18, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN ANTONIO, TX
Past

July 22, 2004 - June 28, 2005

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

July 29, 2002 - June 21, 2004

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

September 8, 1999 - March 27, 2002

FUND MANAGEMENT COMPANY

BD
CRD#: 25585
HOUSTON, TX
Past

February 17, 1998 - August 23, 1999

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

December 4, 1997 - January 29, 1998

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

April 10, 1995 - February 26, 1997

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/4/2022
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/1/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/9/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/11/2000
Investment Company Products/Variable Contracts Principal Examination

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

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

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 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#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

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