Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bruce Stewart is a financial advisor with over 30 years of experience in the financial services industry. James Stewart is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at Santander Securities LLC, Princor Financial Services Corporation, Cambridge Investment Research, Inc., Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., Dean Witter Reynolds Inc., and Smith Barney, Harris Upham & Co., Incorporated. James Stewart offers a wide range of financial services including portfolio management, financial planning, and educational seminars. James Stewart has earned the Series 3, 7, 63, 65, and 66 licenses, and has a long history of working with individual clients, corporations, and institutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
12/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GLASTONBURY CT)
CT
12/11/2014 - 07/28/2015
SANTANDER SECURITIES LLC (WETHERSFIELD CT)
CT
06/29/2015 - 06/29/2015
PRINCOR FINANCIAL SERVICES CORPORATION (Farmington CT)
CT
07/29/2013 - 12/16/2013
CAMBRIDGE INVESTMENT RESEARCH, INC. (EAST WINDSOR CT)
CT
01/01/2008 - 11/03/2009
WELLS FARGO ADVISORS, LLC (GLASTONBURY CT)
CT
04/06/1993 - 01/03/2008
A. G. EDWARDS & SONS, INC. (GLASTONBURY CT)
NY
08/04/1988 - 04/01/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
09/21/1983 - 07/20/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 11/05/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/19/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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