Additional Information
Additional Information for The Stewart Corporation
- Location of This Business
- 6729 Academy Rd NE Ste C, Albuquerque, NM 87109
- Headquarters
- 880 Carillon Pkwy, Saint Petersburg, FL 33716-1102
- BBB File Opened:
- 11/24/1997
- Years in Business:
- 60
- Business Started:
- 1/1/1964
- Business Started Locally:
- 12/1/1994
- Business Incorporated:
- 2/19/1969
- Licensing Information:
- This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.BBB records show a license number of IA0901701 for this business, issued by Florida Office of Financial Regulation
These agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901177 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901412 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901409 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB9903661 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901215 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901214 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901191 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901213 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901210 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901186 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901205 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901204 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901172 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901203 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901208 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
BBB records show a license number of BDB0901198 for this business, issued by Florida Office of Financial RegulationThese agencies may include:
Florida Office of Financial Regulation
101 E Gaines St
Tallahassee FL 32399
- Type of Entity:
- Corporation
- Alternate Business Name
- Raymond James Financial, Inc.
- Stewart Asset Advisors
- Business Management
- Mr. J. Michael Stewart, President
- Contact Information
Customer Contact
- Mr. J. Michael Stewart, President
- Products and Services
- This company provides full service financial planning and brokerage services to individuals and corporations.
Government Action: BBB reports on known government actions involving business’ marketplace conduct:
The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.
On August 14, 2024 the business entered into an Offer of Settlement with the Securities and Exchange Commission. The Offer of Settlement settles allegations that the business:
-Sent and received off-channel communications on personal devices that were records required to be maintained under the Exchange Act and Rule 17a-4(b)(4) and or Advisers Act Rule 204-2(a)(7).
-Failure to reasonably supervise its personnel within the meaning of Section 15(b)(4)(E) of the Exchange Act and Section 203(e)(6) of the Advisers Act.
Under the terms of the Offer of Settlement, the business agreed to the following sanctions:
-Cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Exchange Act and Rule 17a-4 thereunder.
-Cease and desist from committing or causing any violations and any future violations of Section 204 of the Advisers Act and Rule 204-2 thereunder.
-The business is censured.
-The business shall pay a civil money penalty in the amount of $50,000,000 to the Securities and Exchange Commission.
The Offer of Settlement was for settlement purposes only and should not be considered as an admission of guilt or finding violation of the law. For more details go to https://www.sec.gov/newsroom/press-releases/2024-98?utm_medium=email&utm_source=govdelivery.
Accreditation
This business is not BBB Accredited
Years in Business: 60
BBB Rating
This rating reflects BBB's opinion about the entire organization's interactions with its customers, including interactions with local locations.
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