Joseph G. 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.
Joseph Gerard Stewart was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2011 - August 1, 2014
TSC DISTRIBUTORS, LLC
January 6, 2010 - November 18, 2011
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - October 18, 2011
DELAWARE DISTRIBUTORS, L.P.
March 15, 2007 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 12, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 22, 2004 - August 24, 2006
CITIGROUP GLOBAL MARKETS INC.
September 21, 2001 - June 9, 2004
TD AMERITRADE, 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
TSC DISTRIBUTORS, LLC
CRD#: 37058 / SEC#: , 8-47579
Contact information
Documents
Disclosures
| Judgment/Lien | 1 |
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.
