Edward M. Stuart
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.
Edward Marchand Stuart, who also goes by Ed Stuart, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 8 firms and has passed the Series 63, Series 2 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2005 - February 24, 2012
REGENTATLANTIC
November 21, 1988 - December 31, 2000
CADARET, GRANT & CO., INC.
November 1, 1984 - November 22, 1988
FOCUS SECURITIES, INC.
August 14, 1980 - October 29, 1984
CARDELL & ASSOCIATES, INCORPORATED
January 15, 1980 - August 11, 1980
INDEPENDENT SECURITIES CORPORATION
May 22, 1978 - February 2, 1983
INDEPENDENT FINANCIAL PLANNERS CORPORATION
May 15, 1978 - December 16, 1989
JOHN HANCOCK DISTRIBUTORS LLC
January 22, 1976 - May 1, 1978
CINCINNATI ANALYSTS, INC.
December 2, 1970 - February 19, 1976
JOHN HANCOCK DISTRIBUTORS LLC
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
Series 2
Date: 3/2/1995
Non-Member General Securities ExaminationSeries 1
Date: 11/21/1970
Registered Representative ExaminationCurrent Firm
REGENTATLANTIC
CRD#: 105995 / SEC#: 801-17301
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 2,131 |
| AUM (Assets Under Management) | $ 6,205,189,466 |
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.
