Kay C. Stewart
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.
Kay Carol Stewart was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 1996. Kay had worked at 6 firms and has passed the Series 66, Series 63 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 23, 2007 - January 21, 2015
STEWART ADVISORY SERVICES, LLC
August 4, 2004 - April 17, 2007
FIRST ALLIED SECURITIES, INC.
August 4, 2004 - April 17, 2007
FIRST ALLIED SECURITIES, INC.
June 8, 2004 - August 6, 2004
MOMENTUM INDEPENDENT NETWORK INC.
May 28, 2004 - August 6, 2004
MOMENTUM INDEPENDENT NETWORK INC.
August 1, 2001 - June 18, 2004
CHAPMAN SECURITIES, INC.
May 10, 1999 - July 19, 2001
A. G. EDWARDS & SONS, INC.
September 17, 1996 - May 13, 1999
EDWARD JONES
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
STEWART ADVISORY SERVICES, LLC
CRD#: 143636 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 623,000 |
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.
