Stuart M. Director
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.
Stuart Michael Director was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1969. Stuart had worked at 8 firms and has passed the Series 63, PC, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2006 - January 2, 2014
MCADAMS WRIGHT RAGEN, INC.
August 15, 1990 - April 10, 2006
WELLS FARGO INVESTMENTS, LLC
May 10, 1984 - September 11, 1990
LEHMAN BROTHERS INC.
June 25, 1979 - August 21, 1979
LEHMAN BROTHERS INC.
March 17, 1978 - June 25, 1979
LOEB PARTNERS
February 28, 1978 - May 15, 1978
MORGAN STANLEY DW INC.
February 20, 1976 - February 28, 1978
REYNOLDS SECURITIES, INC.
March 5, 1969 - March 20, 1976
KIDDER, PEABODY & CO., INCORPORATED
February 28, 1969 - May 7, 1984
FOSTER & MARSHALL INC.
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
PC
Date: 3/6/1978
AMEX Put and Call ExamSeries 000
Date: 2/28/1969
General Securities Principal ExaminationSeries 1
Date: 2/28/1969
Registered Representative ExaminationSeries 8
Date: 11/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MCADAMS WRIGHT RAGEN, INC.
CRD#: 45899 / SEC#: 801-55918, 8-51232
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| DIRECTOR, DAVID JEROME | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | 1060159 |
| GUAGLIARDO, ALICIA MARIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2091180 |
| MCADAMS, SCOTT WAYNE | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 1559165 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| RAGEN, BROOKS GEER | CHAIRMAN OF THE BOARD/DIRECTOR | 370117 |
| RAGEN, CAMERON BROOKS | SENIOR VICE PRESIDENT | 2140003 |
| ROGOWSKI, ROBERT JOHN | MANAGING DIRECTOR & DEPART CHAIR, INVESTMENT BANKING | 1818321 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| ZARCONE, DOMINICK PAUL | DIRECTOR | 2154034 |
Disclosures
| Regulatory Event | 5 |
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.
