Kara M. 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.
Kara Michelle Stewart, who also goes by Kara Michelle Rector, was a registered financial professional .
Kara is a previously registered financial professional and started their career in finance in 1999. Kara had worked at 3 firms and has passed the Series 63, SIE, 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
September 29, 2011 - July 12, 2016
PORTSMOUTH FINANCIAL SERVICES
December 16, 1999 - October 11, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 17, 1999 - November 5, 1999
MUTUAL SECURITIES, 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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
