Timothy J. 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.
Timothy James Stewart, who also goes by Tim Stewart, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 3 firms and has passed the Series 63, Series 3, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2005 - February 15, 2012
BOSTON PARTNERS SECURITIES, L.L.C.
June 26, 1997 - December 23, 1998
NATIONAL INVESTOR SERVICES CORP.
December 18, 1996 - August 14, 1997
TD AMERITRADE, 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
Series 28
Date: 9/28/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
BOSTON PARTNERS SECURITIES, L.L.C.
CRD#: 2998 / SEC#: , 8-15648
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
