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DS

Daniel G. Stewart

TOPTURN CAPITAL
CARMEL, CA 93923
Some features on this profile are disabled
CRD#: 3220485
DS

Professional summary

Daniel Gregory Stewart, CIMA®, who also goes by Daniel G Stewart, Greg Stewart, is a registered financial advisor currently at TOPTURN CAPITAL, LLC located in Carmel, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Daniel has worked at 3 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel G Stewart | Greg 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) - RIA

Click below to view Daniel Gregory Stewart's CRS (Customer Relationship Summary).
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®
CIMA®

Certified Investment Management Analyst

Experience

Current

November 10, 2009 - Present

TOPTURN CAPITAL, LLC

Office #1: 200 Clock Tower Place Suite B208, Carmel, CA 93923
RIA
CRD#: 151464
CARMEL, CA
Past

May 20, 2005 - November 19, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CARMEL, CA
Past

May 20, 2005 - November 19, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CARMEL, CA
Past

September 13, 1999 - May 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
FRESNO, CA
Past

July 8, 1999 - May 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
TOPTURN CAPITAL, LLC
DARCHUCK STEWART CAPITAL ADVISORS, LLC | TOPTURN CAPITAL, LLC | DP WEALTH ADVISORS, LLC

CRD#: 151464 / SEC#: 801-70572

RIA
Registered Investment Advisory firm - (9/15/2009 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(11/10/2009)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/23/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 10/2/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/1999
General Securities Representative Examination

Current Firm

TC
TOPTURN CAPITAL, LLC
DARCHUCK STEWART CAPITAL ADVISORS, LLC | TOPTURN CAPITAL, LLC | DP WEALTH ADVISORS, LLC

CRD#: 151464 / SEC#: 801-70572

RIA
Registered Investment Advisory firm - (9/15/2009 Approved)
PREMIUM
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Contact information

Main Address
40 Ragsdale Drive Suite 120, Monterey, CA 93940
Mailing Address
Phone number
(831) 324-0481
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TOPTURN CAPITAL - ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts336
AUM (Assets Under Management)$ 178,358,890

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

TOPTURN CAPITAL, LLC

CRD#: 151464Carmel, CA 93923

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