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CS

Charles F. Stuart

Some features on this profile are disabled
CRD#: 2654824
CS

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.

Charles Frederick Stuart was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

August 2, 2013 - December 5, 2016

G.DISTRIBUTORS, LLC

BD
CRD#: 155071
RYE, NY
Past

October 5, 2000 - January 17, 2002

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

June 28, 1999 - October 2, 2000

LIEBER & COMPANY

BD
CRD#: 4163
WHITE PLAINS, NY
Past

April 10, 1998 - March 31, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 5, 1997 - January 20, 1998

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

November 22, 1995 - April 29, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA

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
Series 63
Date: 11/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/1996
General Securities Principal Examination

Current Firm

GL
G.DISTRIBUTORS, LLC
G.DISTRIBUTORS, LLC | GABELLI FUNDS DISTRIBUTOR, LLC

CRD#: 155071 / SEC#: , 8-68697

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

Main Address
One Corporate Center, Rye, NY 10580-1435
Mailing Address
One Corporate Center, Rye, NY 10580-1435
Phone number
(914) 921-5000
Established
Delaware since 08/10/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DISTRIBUTORS HOLDINGS INC.THE SINGLE MEMBER OF G.DISTRIBUTORS, LLC
BALL, JOHN CHESTERCHIEF EXECUTIVE OFFICER3153792
CALDWELL, MAXIMILIAN SMITHFINOP, TREASURER5482642
MCNIFF, ARTHUR JOSEPHCHIEF COMPLIANCE OFFICER4586817
SWIRBUL, JASON GREYSR. VICE PRESIDENT2867816

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

G.DISTRIBUTORS, LLC

CRD#: 155071

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