Brent Stewart
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.
Brent Stewart, who also goes by Brent M Stewart, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 2017. Brent had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2021 - June 2, 2022
WEALTHPLAN PARTNERS
November 27, 2019 - June 22, 2022
SECURITIES AMERICA, INC.
December 12, 2017 - October 25, 2019
CITIZENS SECURITIES, INC.
Primary Firm SEC Registration
WEALTHPLAN PARTNERS
CRD#: 305026 / SEC#: 801-117955
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 7TO
Date: 1/23/2020
General Securities Representative ExaminationCurrent Firm
WEALTHPLAN PARTNERS
CRD#: 305026 / SEC#: 801-117955
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,681 |
| AUM (Assets Under Management) | $ 1,120,185,963 |
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.
