Robert A. Stewart

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CRD#: 436406

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.

Robert Allen Stewart, who also goes by Allen Stewart, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 1, Series 4, Series 40 and F04 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Allen 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2000 - January 7, 2019

SEAMOUNT FINANCIAL GROUP INC

RIA

CRD#: 107834

ORANGE, CA

Past

May 26, 2000 - December 31, 2018

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ORANGE, CA

Past

November 24, 1978 - June 6, 2000

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

February 24, 1978 - January 18, 1979

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 1, 1968 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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".

SEAMOUNT FINANCIAL GROUP INC

CRD#: 107834 / SEC#: 801-56412

RIA

Registered Investment Advisory firm - (4/6/1999 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 8/12/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/24/1978

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 6/30/1978

Registered Principal Examination

Principal/Supervisory Exam

F04

Date: 6/19/1978

Financial Principal Examination

Current Firm

SEAMOUNT FINANCIAL GROUP INC

CRD#: 107834 / SEC#: 801-56412

RIA

Registered Investment Advisory firm - (4/6/1999 Approved)

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Contact information

Main Address

90 So Cascade Avenue Suite 970, Colorado Springs, CO 80903

Mailing Address

Phone number

(719) 471-1171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEAMOUNT FINANCIAL GROUP INC ADV BROCHURE (6/4/2025)

Regulatory assets under management

Total Number of Accounts	1,604
AUM (Assets Under Management)	$ 665,191,281

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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Advisor Monitoring

Firm Stability Insights

Robert A. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

INDEPENDENT FINANCIAL GROUP, LLC

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

SEAMOUNT FINANCIAL GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/1991

SIE

Date: 10/1/2018

Series 1

Date: 8/12/1966

Series 4

Date: 10/24/1978

Series 40

Date: 6/30/1978

F04

Date: 6/19/1978

Current Firm

SEAMOUNT FINANCIAL GROUP INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEAMOUNT FINANCIAL GROUP INC

TRUST BUT VERIFY

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