AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SO

Stewart M. Oldfield

THIRD LAKE ASSOCIATES
Tampa, FL 33605
Some features on this profile are disabled
CRD#: 3167083
SO

Professional summary

Stewart Martin Oldfield, who also goes by Stew Oldfield, Stewart M Oldfield, is a registered financial professional currently at THIRD LAKE ASSOCIATES, LLC located in Tampa, Florida.

Stewart is registered as a RR (Registered Representative) and started their career in finance in 1999. Stewart has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stew Oldfield | Stewart M Oldfield

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) - BD

Click below to view Stewart Martin Oldfield's CRS (Customer Relationship Summary).

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

Current

January 19, 2024 - Present

THIRD LAKE ASSOCIATES, LLC

Office #1: 1600 East 8th Avenue,, Suite A-208, Tampa, FL 33605
BD
CRD#: 324388
Tampa, FL
Past

November 12, 2014 - July 31, 2020

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 6, 2002 - October 10, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 12, 2001 - May 10, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 22, 1999 - February 12, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/6/2024)
RR
California
(5/2/2024)
RR
Connecticut
(5/3/2024)
RR
Florida
(5/1/2024)
RR
Georgia
(3/21/2024)
RR
Illinois
(6/3/2024)
RR
Maryland
(5/9/2024)
RR
Massachusetts
(6/10/2024)
RR
Minnesota
(7/19/2024)
RR
Nevada
(5/6/2024)
RR
New Jersey
(5/31/2024)
RR
New York
(5/3/2024)
RR
North Carolina
(5/6/2024)
RR
Pennsylvania
(5/3/2024)
RR
South Carolina
(5/15/2024)
RR
Tennessee
(5/6/2024)
RR
Texas
(5/3/2024)
RR
Wisconsin
(5/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/19/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/25/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/30/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/30/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/30/2022
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THIRD LAKE ASSOCIATES, LLC
THIRD LAKE ASSOCIATES, LLC

CRD#: 324388 / SEC#: , 8-71097

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1600 East 8th Avenue, Suite A-208, Tampa, FL 33605
Mailing Address
1600 East 8th Avenue, Suite A-208, Tampa, FL 33605
Phone number
(727) 349-9300
Established
Delaware since 08/14/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THIRD LAKE HOLDINGS, LLCOWNER
AZARY, DENNIS MICHAELFINOP2384263
BECK, ERIC JASONCHIEF COMPLIANCE OFFICER4824373
OLDFIELD, STEWART MARTINCHIEF EXECUTIVE OFFICER3167083
THOMAS, LUKE AARONGENERAL SECURITIES PRINCIPAL5884376

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

THIRD LAKE ASSOCIATES, LLC

CRD#: 324388Tampa, FL 33605

TRUST BUT VERIFY

Monitor Stewart Oldfield

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

GD
Gustavo Delgado AliceaAdvisorCheck Check Mark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
IAR
RR
Brandon, FL
LG
Lee GorgasAdvisorCheck Check Mark
CHARLES SCHWAB & CO., INC.
IAR
RR
Tampa, FL
AC
Anita CepedaAdvisorCheck Check Mark
MORGAN STANLEY
RR
Tampa, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics