WS
Wesley D. Stewart
SYNOVUS SECURITIES
Huntsville, AL 35801
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CRD#: 5610698
WS
Professional summary
Wesley Daniel Stewart, who also goes by Wes Stewart, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Huntsville, Alabama.
Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Wesley has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wes 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.
Central Baptist Church Endowment Committee | 2801 Hwy 31 S., DECATUR, AL 35603 | RELIGIOUS | VP; Endowment Committee | 1 HR/MO | 0 HRS DURING TRADING | NOT INVESTMENT RELATED | NO COMPENSATION |Ensures that gifts from the estates are uses as intended by the decedent. Run the meeting/agenda if the President is not present. Only meet one a quarter. Central Baptist Church | 2801 Hwy 31 S., DECATUR, AL 35603 | RELIGIOUS | FILL-IN FOR WORSHIP LEADER | 1 HR/MO | 0 HRS DURING TRADING | NOT INVESTMENT RELATED | FLAT FEE COMPENSATION |IF SUNDAY MORNING WORSHIP IS DONE THEN $250 IS PAID/ IF ONLY CHIOR REHEARSAL, NO PAYMENT. | WHEN THE WPRSHIP LEADER IS OUT OF TOWN OR SICK, I FILL IN TO LEAD CHIOR REHEARSAL AND/OR TO LEAD WORSHIP IN THE SUNDAY MORNING WORSHIP SERVICE. THIS IS NO MORE THE 3 TIMES PER YEAR.
CRS (Client Relationship Summary) - RIA
Click below to view Wesley Daniel Stewart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wesley Daniel Stewart's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 30, 2024 - Present
SYNOVUS SECURITIES, INC.
Office #1: 301 Washington Street, Huntsville, AL 35801RIA
BD
CRD#: 14023
Huntsville, AL
Current
July 30, 2024 - Present
SYNOVUS SECURITIES, INC.
Office #1: 301 Washington Street, Huntsville, AL 35801RIA
BD
CRD#: 14023
Huntsville, AL
Past
January 21, 2014 - July 30, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HUNTSVILLE, AL
Past
January 30, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
FLORENCE, AL
Past
January 30, 2013 - July 30, 2024
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
FLORENCE, AL
Past
April 12, 2010 - January 9, 2013
EDWARD JONES
RIA
CRD#: 250
DECATUR, AL
Past
February 17, 2010 - January 9, 2013
EDWARD JONES
BD
CRD#: 250
DECATUR, AL
Past
March 6, 2009 - January 8, 2010
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DECATUR, AL
Past
January 26, 2009 - January 30, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
DECATUR, AL
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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/30/2024)
IAR
Alabama(7/30/2024)
RR
Tennessee(3/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
