Douglas A. 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.
Douglas Allen Stewart, who also goes by Doug Stewart, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1997. Douglas had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2017 - December 31, 2022
MARKET CONCEPTS, LLC
September 25, 2013 - November 1, 2017
MARKET CONCEPTS, LLC
March 9, 2009 - March 7, 2013
FIRST DOMINION CAPITAL CORP.
July 2, 2007 - December 31, 2011
MARKET CONCEPTS, LLC
July 2, 2007 - February 2, 2009
PURSHE KAPLAN STERLING INVESTMENTS
January 4, 2005 - July 2, 2007
WFG ADVISORS, LP
January 3, 2005 - July 2, 2007
WFG INVESTMENTS, INC.
April 24, 2003 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
April 15, 2003 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
June 6, 2000 - April 24, 2003
SCOTT & STRINGFELLOW, LLC
July 31, 1999 - April 24, 2003
SCOTT & STRINGFELLOW, LLC
February 12, 1997 - April 29, 1999
PFS INVESTMENTS 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
MARKET CONCEPTS, LLC
CRD#: 143838 / SEC#: 801-69839
Contact information
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 6,700,000 |
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.
