William F. Steward
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.
William Frazier Steward, who also goes by William F Steward, William Steward, Will Steward, William (will) Steward, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2015. William had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2021 - July 28, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 17, 2021 - July 27, 2023
FIDELITY BROKERAGE SERVICES LLC
April 18, 2019 - July 24, 2019
J.P. MORGAN SECURITIES LLC
April 18, 2019 - July 24, 2019
J.P. MORGAN SECURITIES LLC
April 11, 2017 - August 17, 2017
RAYMOND JAMES & ASSOCIATES, INC.
April 11, 2017 - August 17, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 9, 2015 - January 3, 2017
EDWARD JONES
July 15, 2015 - January 3, 2017
EDWARD JONES
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
