Stuart C. Werner
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.
Stuart Carlton Werner, who also goes by Stuart Carleton Werner, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1970. Stuart had worked at 22 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2020 - October 13, 2023
NOBLES & RICHARDS, INC.
February 28, 2018 - August 1, 2019
COMMERCE STREET CAPITAL, LLC
May 1, 2015 - February 22, 2018
NATIONAL SECURITIES CORPORATION
February 20, 2013 - April 30, 2015
DREXEL HAMILTON, LLC
September 11, 2007 - October 25, 2012
THE BENCHMARK COMPANY, LLC
January 10, 2007 - June 29, 2007
E.L.K. CAPITAL ADVISORS, LLC
April 6, 2005 - November 8, 2005
BIO-IB, INC.
August 23, 2004 - March 30, 2005
JANNEY MONTGOMERY SCOTT LLC
July 24, 2002 - June 22, 2004
W.R. HAMBRECHT + CO., LLC
March 8, 2000 - June 11, 2002
NEEDHAM & COMPANY, LLC
October 1, 1999 - March 7, 2000
WELLS FARGO CLEARING SERVICES, LLC
June 5, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 2, 1998 - April 28, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 27, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
February 23, 1994 - June 29, 1994
THE CHICAGO CORPORATION
March 19, 1993 - December 31, 1993
DB ALEX. BROWN LLC
December 14, 1983 - February 19, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1982 - November 22, 1983
HAMBRECHT & QUIST LLC
June 7, 1979 - October 20, 1982
MONTGOMERY SECURITIES
May 25, 1973 - December 25, 1978
CIBC WORLD MARKETS CORP.
September 29, 1970 - June 29, 1973
A G BECKER & CO INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 7/6/1988
AMEX Put and Call ExamSeries 1
Date: 9/18/1970
Registered Representative ExaminationCurrent Firm
NOBLES & RICHARDS, INC.
CRD#: 146870 / SEC#: , 8-67859
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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