Carl Wilson Stuart

Current Employers

Stuart Investment Advisors, Inc.

623 W 38Th Street Suite 110, Austin, TX 78705-1212 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1998-02-10

TX RA
APPROVED

Since 1998-02-10

Branch Locations

623 W 38Th Street Suite 110, Austin, TX 78705-1212 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Raymond James Financial Services, Inc.	Austin	TX	12/1997	06/2020
Carl Stuart Investment Advisor, Inc.	Austin	TX	12/1997	Present
Glg (Gerson Lehman Group Inc)	Austin	TX	05/2017	08/2019

12/1997 → 06/2020

Raymond James Financial Services, Inc.

Austin, TX
12/1997 → Present

Carl Stuart Investment Advisor, Inc.

Austin, TX
05/2017 → 08/2019

Glg (Gerson Lehman Group Inc)

Austin, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-06-16
S63	Uniform Securities Agent State Law Examination	1980-02-21

S65 Uniform Investment Adviser Law Examination

1993-06-16
S63 Uniform Securities Agent State Law Examination

1980-02-21

View on SEC IAPD

Current Employers

Stuart Investment Advisors, Inc.

Disclosures

Employment History

Exams

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