Richard D. 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.
Richard D Stewart was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 5 firms and has passed the Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2000 - August 24, 2009
GBS FINANCIAL CORP.
September 9, 1998 - November 16, 1999
MOORS & CABOT, INC.
July 20, 1990 - September 9, 1998
DAKIN SECURITIES CORPORATION
March 7, 1988 - July 20, 1989
ACUMENT SECURITIES, INC.
December 1, 1980 - July 15, 1987
BALDWIN CAPITAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
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
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
