Michael Stewart has been Chief Compliance Officer of Lawrence W. Kelly & Associates since September 2013, is a control person of the firm and directly owns under 5% of it. Michael Stewart holds a Bachelor of Science in Business Administration with an emphasis in Finance from the University of Southern California.
Lawrence W. Kelly & Associates, Inc. is a Pasadena, CA firm with $540M under management, 83 clients and 2 advisers in one office, as of its March 2026 filing.
Michael Stewart is on the Investment Committee of LK&A Investment Counsel (Lawrence W. Kelly & Associates, Inc.). Before joining LK&A in 2010 he spent seven years as a Financial Advisor at Morgan Stanley, where he managed portfolios for high net worth families and institutions. He also worked as an Institutional Trading Manager at Seaport Global Securities, formerly GHS, where he managed the firm's sales and trading efforts in the Mid-Atlantic region.
Michael Stewart’s longest registration is the current one, 15 years at Lawrence W. Kelly & Associates since 2010. Before joining Lawrence W. Kelly & Associates in 2010, Michael Stewart was registered through Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. Incorporated.
- Lk&a Investment CounselCurrent– present · 15 yearsPasadena, CA · Adviser representative · Firm CRD 106635
- Morgan Stanley Smith Barney LLC– · under a yearWoodland Hills, CA · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsWoodland Hills, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 3 yearsWoodland Hills, CA · Adviser representative · Firm CRD 7556
Professional designations
Listed by Lawrence W. Kelly & Associates
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
Michael Stewart is registered as an investment adviser representative in 2 states. The first approvals date from December 2010; the most recent is Texas, in January 2011.
- CaliforniaSince 1 December 2010
- TexasSince 4 January 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 13 December 2002 |
| Series 66 | Uniform Combined State Law Examination | 11 September 2002 |
| Series 7 | General Securities Representative Examination | 23 August 2002 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Clay Stewart
- CRD
- 4413814
- Firm
- Lawrence W. Kelly & Associates · CRD 106635
- Role
- Chief Compliance Officer
- Office
- 199 SOUTH LOS ROBLES AVENUE, SUITE 850, Pasadena, CA 91101-2461
- Registration
- Investment adviser registration
- In the industry since
- January 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- lkainvestments.com
Where does Michael Stewart work?
Michael Stewart has been Chief Compliance Officer of Lawrence W. Kelly & Associates, Inc. since September 2013, and is a control person of the firm.
Is Michael Stewart a financial advisor?
Yes. Michael Stewart has a current investment-adviser registration in California and Texas, through Lawrence W. Kelly & Associates since December 2010.
How many years of experience does Michael Stewart have?
Michael Stewart has 21 years in the financial industry, since January 2005, across 4 adviser firms.
What exams has Michael Stewart passed?
Michael Stewart has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in August 2002.
Where did Michael Stewart work before Lawrence W. Kelly & Associates?
Before Lawrence W. Kelly & Associates, Michael Stewart was registered through Morgan Stanley Smith Barney LLC, June 2009 to August 2009; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, September 2003 to April 2007.
Where is Michael Stewart based?
Michael Stewart’s registered office is in Pasadena, CA.
Is Michael Stewart registered with FINRA?
No. Michael Stewart has no current broker registration.
Is Michael Stewart a CFA charterholder?
Lawrence W. Kelly & Associates lists Michael Stewart with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
Source: Michael C. Stewart, CFA biography, lkainvestments.com
How can I verify Michael Stewart’s record?
Search CRD 4413814 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Stewart’s full registration record.