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Stuart Leighton Updegrove

Ceros Financial Services, Inc.

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About Stuart Leighton Updegrove

Stuart Leighton Updegrove is a financial advisor with over 27 years of experience in the industry. Stuart is currently registered with Ceros Financial Services, Inc. in South Norwalk, Connecticut. Stuart has held previous roles at several firms including National Securities Corporation, Eastbrook Capital Group LLC, Northeast Securities, Inc., Sands Brothers & Co., LTD., Prudential Securities Incorporated, and Nori, Hennion, Walsh, Inc. Stuart is a Series 7, Series 24, Series 63, and Series 65 licensed professional. Stuart holds registrations in 52 states and is also registered with FINRA.

Firm Information

Stuart Updegrove is currently registered with Ceros Financial Services, Inc.. Ceros Financial Services, Inc. is a Corporation formed in September 1994. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico, as well as with the Securities and Exchange Commission. The firm has reported 3 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

57

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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Stuart Updegrove’s Registration & Firm History

CT

01/11/2022 - Present

Ceros Financial Services, Inc. (South Norwalk CT)

CT

04/03/2009 - 02/04/2022

NATIONAL SECURITIES CORPORATION (SOUTH NORWALK CT)

NY

08/12/1996 - 04/09/2009

EASTBROOK CAPITAL GROUP LLC (NEW YORK NY)

NY

01/16/1995 - 10/29/1996

NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)

NY

08/02/1994 - 01/19/1995

SANDS BROTHERS & CO., LTD. (NEW YORK NY)

NY

08/23/1993 - 01/07/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

11/06/1992 - 12/16/1992

NORI, HENNION, WALSH, INC. (PARSIPPANY NJ)

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Licenses & Designations

IA

Issued 12/20/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/10/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/17/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/04/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Stuart Leighton Updegrove.
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