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Joseph Francis Stewart

SG Americas Securities, LLC

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About Joseph Francis Stewart

Joseph Francis Stewart is a securities professional with over 29 years of experience in the financial services industry. Joseph is currently registered with SG Americas Securities, LLC. Previously, Joseph was registered with MIZUHO SECURITIES USA LLC, UBS SECURITIES LLC, SBC WARBURG DILLON READ INC., SBC WARBURG, INC., MERRILL LYNCH GOVERNMENT SECURITIES INC. ("MLGSI"), and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Joseph holds Series 7, Series 24, and Series 63 licenses.

Firm Information

Joseph Stewart is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Joseph Stewart’s Registration & Firm History

NY

02/23/2023 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

08/06/2018 - 03/14/2023

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

06/29/1998 - 06/21/2018

UBS SECURITIES LLC (NEW YORK NY)

CT

09/02/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

07/15/1996 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

NY

10/08/1994 - 04/19/1996

MERRILL LYNCH GOVERNMENT SECURITIES INC. ("MLGSI") (NEW YORK NY)

NY

11/11/1993 - 04/19/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/23/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/10/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph Francis Stewart.
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