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Iain P Stewart

Scotia Capital (usa) Inc.

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About Iain P Stewart

Iain Stewart is a financial professional with over 19 years of experience in the industry. Iain currently works with Scotia Capital (usa) Inc. Prior to joining Scotia Capital (usa) Inc., Iain was a registered representative with HSBC Securities (USA) Inc. and RBS Securities Inc., where he was responsible for providing investment advice to clients. Iain is a Series 7, 24, 63, 79, and SIE licensed professional. He is registered in all 50 states and the District of Columbia.

Firm Information

Iain Stewart is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Iain Stewart’s Registration & Firm History

NY

11/02/2022 - Present

Scotia Capital (usa) Inc. (Tarrytown NY)

NY

09/23/2014 - 09/26/2022

HSBC SECURITIES (USA) INC. (NEW YORK NY)

CT

12/12/2008 - 09/09/2014

RBS SECURITIES INC. (STAMFORD CT)

NY

10/26/2005 - 12/12/2008

RBS SECURITIES CORPORATION (NEW YORK NY)

NY

07/16/2003 - 03/23/2005

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/16/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/17/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/14/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Iain P Stewart.
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