Joshua Allen Stewart

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-06-22
NY	RA	APPROVED	2021-08-03
NJ	RA	APPROVED	2005-07-15

TX RA
APPROVED_RES

Since 2026-06-22
NY RA
APPROVED

Since 2021-08-03
NJ RA
APPROVED

Since 2005-07-15

Branch Locations

201 Ward St Ste 2A, Montgomery, NY 12549-1248 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Montgomery	NY	07/2005	Present

07/2005 → Present

Lpl Financial Llc

Montgomery, NY

Previous Registrations

2004-10-20 → 2005-07-29

Banc Of America Investment Services, Inc.

Monticello, NY
2002-11-25 → 2004-10-20

Quick & Reilly, Inc.

Goshen, NY

Other Businesses

1.07/13/2005; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Stewart and Associates; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 2.10/27/2005; McAllen Venture No. One, LP; Real Estate Venture - Passive; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 3.04/10/2007; Stewart & Associates; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 4.04/10/2007; Stewart & Associates; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 5.12/02/2008; STEWART & ASSOCIATES; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 6.10/24/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name J. ALLEN STEWART & ASSOCIATES INC; Investment Related; at Reported Business Location(s); Start Date 11/01/2025; 140hrs/mth; 0hrs during trading 7.12/30/2025; Family First Life; Other - IMO Insurance; Investment Related; at Reported Business Location(s); Start Date 01/01/2026; 10hrs/mth; hrs during trading 8. 07/16/2026 - J. Allen Stewart & Associates, Inc - Other - Coaching/Consulting - Not Investment Related - Montgomery, NY - Start Date 06/01/2025 - 20 hours per month/ 5 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-07-08
S63	Uniform Securities Agent State Law Examination	1996-07-12

S65 Uniform Investment Adviser Law Examination

1998-07-08
S63 Uniform Securities Agent State Law Examination

1996-07-12

View on SEC IAPD