JAMES STUART, III
CRD #108434 SEC #801-60006 LINCOLN, NE 402-434-7150
SEC Registered
Total AUM
$57M
Discretionary
$56M
Employees
5
Clients
--
Accounts
45
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 9, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HANSEN, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HANSEN, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HANSEN, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HANSEN, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
| STUART, JAMES | I | SOLE PROPRIETOR | E | Control |
Registrations
Federal
IA
Sep 9, 2005 REGISTERED
Notice Filings (1)
NE
Address
2001 PINE LAKE ROAD, STE 400LINCOLN, NE 68512
USA
Phone: 402-434-7150