Carl Stuart (CRD# 860980) is an Investment Advisor Representative working at Carl Stuart Investment Advisor, Inc. in Austin, TX and has over 44 years of experience in the finance industry.
CRD# 4431657
Pbl Wealth Management
CRD# 5872877
Orchard Financial
CRD# 2827672
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Carl Stuart Investment Advisor, Inc. | Austin, TX | Dec 1997 - Current | 26 |
| Raymond James Financial Services, Inc. | Austin, TX | Dec 1997 - Jun 2020 | 22 |
| Glg (gerson Lehman Group Inc) | Austin, TX | May 2017 - Aug 2019 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1980 |
| S65 | NASAA Investment Advisors Law Examination | Jun 1993 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- TX
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Total Assets Under Management468MILLIONS
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Total Number of Accounts937ACCOUNTS
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Average Account Value$499,850
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
AZ, CA, TX
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