John F. Stuart

HIGH POINT WEALTH MANAGEMENT

Chester, NJ 07930

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CRD#: 4287876

Professional summary

John Francis Stuart is a registered financial advisor currently at HIGH POINT WEALTH MANAGEMENT, LLC located in Chester, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 John Francis Stuart'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

April 4, 2024 - Present

HIGH POINT WEALTH MANAGEMENT, LLC

Office #1: 31 Fairmount Avenue Suite 104, Chester, NJ 07930

RIA

CRD#: 147111

Chester, NJ

Past

July 15, 2022 - August 15, 2023

D.A. DAVIDSON & CO.

CRD#: 199

NEW YORK, NY

Past

May 16, 2017 - March 18, 2022

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

New York, NY

Past

April 18, 2013 - March 3, 2017

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

Past

December 11, 2012 - June 10, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

January 11, 2010 - August 1, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 22, 2001 - January 15, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

HIGH POINT WEALTH MANAGEMENT, LLC

CRD#: 147111 / SEC#: 801-130139

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

New York

Registered Investment Advisory firm - (5/7/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/8/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Jersey
(4/4/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative Examination

Current Firm

HIGH POINT WEALTH MANAGEMENT, LLC

CRD#: 147111 / SEC#: 801-130139

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

New York

Registered Investment Advisory firm - (5/7/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/8/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2024 Terminated)

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Contact information

Main Address

31 Fairmount Ave. Suite 105, Chester, NJ 07930

Mailing Address

Phone number

(908) 975-3367

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGH POINT WEALTH MANAGEMENT ADV DISCLOSURE STATEMENT (2/27/2025)

Regulatory assets under management

Total Number of Accounts	328
AUM (Assets Under Management)	$ 173,312,368

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.

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John F. Stuart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Stuart's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.A. DAVIDSON & CO.

KEYBANC CAPITAL MARKETS INC.

CLSA AMERICAS, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HIGH POINT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2024

Series 63

Date: 3/27/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/21/2001

Current Firm

HIGH POINT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGH POINT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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