Richard E. 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.
Richard Eustace Stewart was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 5 firms and has passed the Series 63, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2013 - October 30, 2013
GLOBAL ARENA CAPITAL CORP
July 24, 2008 - May 12, 2011
GALEN CORPORATION SECURITIES, INC
October 22, 2007 - March 1, 2010
GCC-PROSPECT CORPORATION
July 21, 2004 - September 21, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2004 - September 21, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 1997 - August 23, 2000
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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