Individual Firm
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JONATHAN DAVID STEWART
JON STEWART
CRD#: 2087412
IA
B
MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 4 Scammon Street Unit 32
SACO, ME 04072
SACO, ME 04072
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8/18/2004
Customer Dispute
Denied
7/12/2004
Customer Dispute
Denied
State Registrations
B
Arizona 6/7/2022
B
New Hampshire 11/21/2011
B
Florida 8/26/2009
B
New York 12/12/2019
B
Georgia 8/17/2022
B
North Carolina 6/5/2020
B
Kentucky 8/26/2009
B
Pennsylvania 8/21/2024
B
Maine 7/29/2009
B
South Carolina 6/5/2019
IA
Maine 7/29/2009
B
Utah 5/14/2019
B
Massachusetts 6/26/2017
B
West Virginia 12/5/2023
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/29/2009
B
Registered with this firm since 7/13/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/01/2004 - 07/13/2009 | SACO, ME | |
B | 02/26/2002 - 01/01/2004 | DES MOINES, IA | |
B | 09/02/1997 - 02/20/2002 | DULUTH, GA | |
B | 09/04/1990 - 09/11/1997 | DULUTH, GA |
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B
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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.