Benjamin (. Stewart

STEWART WEALTH MANAGEMENT

SAN RAFAEL, CA 94903

Some features on this profile are disabled

CRD#: 4350475

Professional summary

Benjamin (nmn) Stewart, who also goes by Benjamin Figone, Benjamin Stewart, is a registered financial advisor currently at STEWART WEALTH MANAGEMENT, INC. located in San Rafael, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Benjamin has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Figone | Benjamin 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 Benjamin (nmn) 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®

None

Experience

Current

March 29, 2007 - Present

STEWART WEALTH MANAGEMENT, INC.

Office #1: 1050 Northgate Drive Suite 333, San Rafael, CA 94903

RIA

CRD#: 143425

SAN RAFAEL, CA

Past

October 2, 2001 - March 30, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN RAFAEL, CA

Past

March 9, 2001 - March 30, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN RAFAEL, CA

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".

STEWART WEALTH MANAGEMENT, INC.

CRD#: 143425 / SEC#: 801-110534

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/22/2017 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

California
(3/29/2007)

IAR

Texas
(4/18/2022)

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: 4/20/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/8/2001

General Securities Representative Examination

Current Firm

STEWART WEALTH MANAGEMENT, INC.

CRD#: 143425 / SEC#: 801-110534

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/22/2017 Terminated)

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

1050 Northgate Drive Suite 333, San Rafael, CA 94903

Mailing Address

Phone number

(415) 499-1544

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A/2B DISCLOSURE BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,541
AUM (Assets Under Management)	$ 501,223,833

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.

Similar Advisors

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Benjamin (. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin (nmn) Stewart's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEWART WEALTH MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

STEWART WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2001

Series 63

Date: 4/16/2001

Series 7

Date: 3/8/2001

Current Firm

STEWART WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEWART WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors