Dominica R. 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.
Dominica Ra'shawn Stewart, who also goes by Dominica Ra'shawn Broom, was a registered financial professional .
Dominica is a previously registered financial professional and started their career in finance in 2021. Dominica had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2022 - December 31, 2023
M1 FINANCE
October 11, 2021 - February 1, 2024
M1 FINANCE LLC
Primary Firm SEC Registration
M1 FINANCE
CRD#: 249787 / SEC#: 801-106511
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 10/9/2021
General Securities Representative ExaminationCurrent Firm
M1 FINANCE
CRD#: 249787 / SEC#: 801-106511
Contact information
SEC notice filing (1 States and Territories)
Documents
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.
