Individual Firm
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ROYCE ALLEN STEWART
CRD#: 1953563
IA
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LPL FINANCIAL LLCCRD#: 6413 2000 BROADWAY ST
REDWOOD CITY, CA 94063
REDWOOD CITY, CA 94063
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11/1/2004
Employment Separation After Allegations
State Registrations
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Alabama 12/19/2024
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Colorado 12/13/2019
B
Arkansas 12/13/2019
B
Georgia 12/26/2024
B
California 12/13/2019
B
South Dakota 12/13/2019
IA
California 12/16/2019
B
Utah 12/13/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 12/16/2019
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Registered with this firm since 12/13/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/31/2005 - 12/17/2019 | REDWOOD CITY, CA | |
B | 10/31/2005 - 12/17/2019 | REDWOOD CITY, CA | |
IA | 12/15/2004 - 10/31/2005 | SAN FRANCISCO, CA | |
B | 12/15/2004 - 10/31/2005 | PHOENIX, AZ | |
IA | 09/19/1998 - 11/29/2004 | MENLO PARK, CA | |
B | 08/24/1998 - 11/29/2004 | NEW YORK, NY | |
B | 08/06/1994 - 08/28/1998 | LONG ISLAND CITY, NY | |
B | 06/20/1989 - 08/02/1994 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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