Thomas J. Stewart

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CRD#: 7438686

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.

Thomas Jakob Stewart was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2021. Thomas had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

- the name of the other business: Boato, LLC - whether the business is investment-related: Not investment related. - the address of the other business: 12000 Sycamore Shaols Drive, Bumpass, VA, 23024 - the nature of the other business: boat rentals - your position: Chief Technology Officer - title, or relationship with the other business: member, Chief Technology Officer - the start date of your relationship: 01/2021 - the approximate number of hours/month you devote to the other business: 10 hrs - the number of hours you devote to the other business during securities trading hours: 0 hrs - briefly describe your duties relating to the other business: manage the website and marketing

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 13, 2021 - December 31, 2024

QUANTBASE

RIA

CRD#: 315414

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUANTBASE

QUANTBASE | QUANTBASE, LLC

CRD#: 315414 / SEC#: 801-122782

RIA

Registered Investment Advisory firm - (12/13/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/2021

Uniform Investment Adviser Law Examination

Current Firm

QUANTBASE

QUANTBASE | QUANTBASE, LLC

CRD#: 315414 / SEC#: 801-122782

RIA

Registered Investment Advisory firm - (12/13/2021 Approved)

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Contact information

Main Address

222 Broadway, New York, NY 10038

Mailing Address

3601b Greenspring Road, Havre De Grace, MD 21078

Phone number

(929) 682-1617

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (4/2/2025)

Regulatory assets under management

Total Number of Accounts	14,552
AUM (Assets Under Management)	$ 21,323,711

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.

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Thomas J. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUANTBASE

Primary Firm SEC Registration

QUANTBASE

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2021

Current Firm

QUANTBASE

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUANTBASE

TRUST BUT VERIFY

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