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Caroline Y. Stewart

Some features on this profile are disabled
CRD#: 2968803
CS

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.

Caroline Yasuko Stewart, who also goes by Caroline Yasuko Goodman, Caroline Y Goodman, Caroline Yasuko Stewart, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 1997. Caroline had worked at 10 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline Yasuko Goodman | Caroline Y Goodman | Caroline Yasuko Stewart

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 16, 2013 - December 2, 2013

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

June 1, 2006 - June 2, 2009

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

July 28, 2005 - May 16, 2006

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
WHITE PLAINS, NY
Past

January 31, 2005 - July 12, 2005

INDEPENDENT RESEARCH GROUP LLC

BD
CRD#: 124432
NEW YORK, NY
Past

June 24, 2004 - February 23, 2005

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

October 13, 2003 - April 26, 2004

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA
Past

July 9, 2002 - October 15, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 30, 2001 - June 21, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 1, 2000 - February 16, 2001

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

November 2, 1998 - May 22, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 17, 1997 - July 14, 1998

WESTON SECURITIES CORPORATION

BD
CRD#: 15743
WELLESLEY, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 8/30/2013
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 7/25/2013
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/16/2013
General Securities Representative Examination

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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.

Company Information

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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