Stewart M. Oldfield
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.
Stewart Martin Oldfield, who also goes by Stew Oldfield, Stewart M Oldfield, was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1999. Stewart had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2024 - April 30, 2026
THIRD LAKE ASSOCIATES, LLC
November 12, 2014 - July 31, 2020
DEUTSCHE BANK SECURITIES INC.
May 6, 2002 - October 10, 2014
CREDIT SUISSE SECURITIES (USA) LLC
February 12, 2001 - May 10, 2002
J.P. MORGAN SECURITIES INC.
February 22, 1999 - February 12, 2001
JPMSI
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 99TO
Date: 1/19/2024
Operations Professional ExaminationSeries 79TO
Date: 5/25/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 6/30/2022
General Securities Representative ExaminationCurrent Firm
THIRD LAKE ASSOCIATES, LLC
CRD#: 324388 / SEC#: , 8-71097
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
