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JS

Joseph J. Steward

PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 3241331
JS

Professional summary

Joseph Jemel Steward, who also goes by Joseph J Steward II, is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 15 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph J Steward Ii

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 Joseph Jemel Steward'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®
None

Experience

Current

August 10, 2022 - Present

PHX FINANCIAL, INC.

Office #1: 100 Wall Street Floor 10, New York, NY 10005
BD
CRD#: 144403
New York, NY
Past

April 5, 2016 - August 11, 2022

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

October 17, 2014 - April 5, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

July 23, 2014 - October 15, 2014

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
NEW YORK, NY
Past

April 24, 2014 - July 23, 2014

REALTA EQUITIES, INC.

BD
CRD#: 23769
New York, NY
Past

March 18, 2013 - May 14, 2014

JOHN CARRIS INVESTMENTS LLC

BD
CRD#: 145767
HOBOKEN, NJ
Past

August 25, 2010 - March 19, 2013

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

March 26, 2010 - August 25, 2010

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

February 16, 2010 - March 11, 2010

FIRST MERGER CAPITAL, INC

BD
CRD#: 44083
NEW YORK, NY
Past

December 9, 2009 - February 22, 2010

SEABOARD SECURITIES, INC.

BD
CRD#: 755
NEW YORK, NY
Past

January 12, 2007 - December 1, 2009

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
NEW YORK, NY
Past

July 21, 2006 - January 16, 2007

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

August 25, 2004 - June 22, 2006

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

September 4, 2003 - September 22, 2004

BERRY-SHINO SECURITIES, INC.

BD
CRD#: 38098
SCOTTSDALE, AZ
Past

August 4, 2003 - September 4, 2003

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

June 4, 2003 - July 21, 2003

LEGEND SECURITIES, INC.

BD
CRD#: 44952
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
California
(11/8/2024)
RR
Colorado
(9/19/2022)
RR
New York
(8/10/2022)
RR
Texas
(1/21/2025)
RR
Virginia
(9/15/2022)
RR
Wisconsin
(11/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

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

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403New York, NY 10005

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