Daniel R. 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.
Daniel Ross Stewart, who also goes by Danial Ross Stewart, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2023 - February 3, 2026
TRUIST SECURITIES, INC.
June 12, 2014 - October 13, 2023
MORGAN STANLEY & CO. LLC
August 30, 2011 - June 16, 2014
GOLDMAN SACHS & CO. LLC
September 1, 2006 - August 3, 2011
THE HUNTINGTON INVESTMENT COMPANY
July 1, 2005 - September 5, 2006
HUNTINGTON CAPITAL CORP.
April 22, 2005 - June 13, 2005
RBC CAPITAL MARKETS, LLC
March 12, 2004 - January 26, 2005
LEHMAN BROTHERS INC.
April 29, 2003 - February 24, 2004
BANC ONE CAPITAL MARKETS, INC.
May 27, 1998 - May 2, 2003
GLEACHER & COMPANY SECURITIES, INC.
April 27, 1998 - June 12, 1998
RAYMOND JAMES & ASSOCIATES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| 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.
