Joshua B. Stewart

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CRD#: 4710606

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.

Joshua B Stewart, who also goes by Joshua Stewart, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2003. Joshua had worked at 4 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joshua 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.

I'm a partner in East Liberty Tap House LLC which owns and operates two restaurants in Salt Lake City. It is not investment-related. My wife and I are 50% owners. I am a silent partner with no operating duties. We opened in 2014.

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

October 30, 2018 - June 8, 2022

SEVEN CANYONS ADVISORS, LLC

RIA

CRD#: 290334

SALT LAKE CITY, UT

Past

January 8, 2007 - May 21, 2007

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SALT LAKE CITY, UT

Past

November 1, 2006 - September 25, 2018

WASATCH ADVISORS LP

RIA

CRD#: 106081

SALT LAKE CITY, UT

Past

October 16, 2003 - March 2, 2006

SIDOTI & COMPANY, LLC

CRD#: 102860

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".

SEVEN CANYONS ADVISORS, LLC

ARK GLOBAL ASSET MANAGEMENT, LLC | SEVEN CANYONS ADVISORS, LLC

CRD#: 290334 / SEC#: 801-112404

RIA

Registered Investment Advisory firm - (2/5/2018 Approved)

Utah

Registered Investment Advisory firm - (10/12/2018 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.

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

IAR

Series 65

Date: 10/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 10/20/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 7/13/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/15/2003

General Securities Representative Examination

Current Firm

SEVEN CANYONS ADVISORS, LLC

ARK GLOBAL ASSET MANAGEMENT, LLC | SEVEN CANYONS ADVISORS, LLC

CRD#: 290334 / SEC#: 801-112404

RIA

Registered Investment Advisory firm - (2/5/2018 Approved)

Utah

Registered Investment Advisory firm - (10/12/2018 Terminated)

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Contact information

Main Address

22 East 100 South 3rd Floor, Salt Lake City, UT 84111

Mailing Address

Phone number

(801) 349-2718

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEVEN CANYONS FORM ADV PARTS 2A AND 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 121,604,728

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

Joshua B. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

WASATCH ADVISORS LP

SIDOTI & COMPANY, LLC

Primary Firm SEC Registration

SEVEN CANYONS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2006

Series 63

Date: 10/27/2003

Series 86

Date: 10/20/2004

Series 87

Date: 7/13/2004

Series 7

Date: 10/15/2003

Current Firm

SEVEN CANYONS ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEVEN CANYONS ADVISORS, LLC

TRUST BUT VERIFY

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