Roland E. Stewart

Some features on this profile are disabled

CRD#: 4829848

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.

Roland E Stewart, who also goes by Roland Ernest Stewart Jr., Roland Ernest Stewart, Roland Stewart, was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 2004. Roland had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roland Ernest Stewart Jr. | Roland Ernest Stewart | Roland 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, 2021 - February 18, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Lancaster, PA

Past

June 29, 2021 - February 18, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Lancaster, PA

Past

May 26, 2021 - July 6, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

LANCASTER, PA

Past

May 19, 2021 - July 6, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

November 12, 2019 - March 1, 2021

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

HARRISBURG, PA

Past

November 12, 2019 - March 1, 2021

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

HARRISBURG, PA

Past

October 14, 2019 - December 11, 2019

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

PITTSBURGH, PA

Past

October 10, 2019 - December 11, 2019

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

PITTSBURGH, PA

Past

October 5, 2016 - January 22, 2018

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

LANCASTER, PA

Past

October 25, 2013 - January 22, 2018

CITIZENS SECURITIES, INC.

CRD#: 39550

LANCASTER, PA

Past

January 2, 2009 - October 4, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

HERSHEY, PA

Past

December 7, 2004 - December 26, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LANCASTER, PA

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".

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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: 10/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/19/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/6/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131

Mailing Address

10150 Meanley Drive 1st Floor, San Diego, CA, 92131

Phone number

(858) 530-4400

Established

California since 11/07/1996

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

791

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CUSO FINANCIAL WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CFS FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 3, INC.	LIMITED PARTNER
AWS 1, LLC	GENERAL PARTNER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
MADURSKI, ANGELA JILL	FINOP
SIMONSON, MARY KATHRYN	ADVISORY CHIEF COMPLIANCE OFFICER	1297398
SIMONSON, MARY KATHRYN	CHIEF COMPLIANCE OFFICER	1297398

Regulatory assets under management

Total Number of Accounts	29,354
AUM (Assets Under Management)	$ 5,378,345,125

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roland E. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CUSO FINANCIAL SERVICES, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2016

Series 63

Date: 1/10/2005

Series 7TO

Date: 5/19/2021

SIE

Date: 1/22/2018

Series 6

Date: 12/6/2004

Current Firm

CUSO FINANCIAL SERVICES, L.P.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CUSO FINANCIAL SERVICES, L.P.

TRUST BUT VERIFY

Similar Advisors