William Stewart has been Managing Member/Chief Compliance Officer of WMS Group since May 2012, is a control person of the firm and directly owns 75% or more of it.
WMS Group LLC is a firm with $125M under management, 252 clients and 2 advisers in one office, as of its April 2026 filing.
W. Mike Stewart created WMS Group, based in Folsom, Louisiana. He entered financial services in 1991 at MetLife, where he rose to the level of Agency Manager, and after just over 10 years there left to create WMS Group. He later worked with OneAmerica Securities and brokersXpress as an advisor, and in May 2012 opened his own Registered Investment Advisory Firm.
William Stewart’s longest registration is the current one, 14 years at WMS Group since 2012. Before joining WMS Group in 2012, William Stewart was registered through Brokersxpress LLC and Oneamerica Securities, Inc.
- Brokersxpress LLC– · 4 yearsCovington, LA · Adviser representative · Firm CRD 127081
- Oneamerica Securities, Inc.– · 2 yearsCovington, LA · Adviser representative · Firm CRD 4173
Professional designations
Listed by WMS Group
- Accredited Investment Fiduciary (AIF)
- Registered Financial Consultant (RFC)
Investment adviser representative registrations
William Stewart is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2012; the most recent is Texas, in March 2026.
- LouisianaSince 28 June 2012
- TexasResidentSince 3 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 4 May 2001 |
| Series 7 | General Securities Representative Examination | 10 March 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 August 1992 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- William Michael Stewart
- CRD
- 2231632
- Firm
- WMS Group · CRD 164327
- Role
- Managing Member/Chief Compliance Officer
- Office
- Folsom, LA
- Registration
- Investment adviser registration
- In the industry since
- December 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- advisormike.com
Where does William Stewart work?
William Stewart has been Managing Member/Chief Compliance Officer of WMS Group LLC since May 2012, and is a control person of the firm.
Is William Stewart a financial advisor?
Yes. William Stewart has a current investment-adviser registration in Louisiana and Texas, through WMS Group since June 2012.
How many years of experience does William Stewart have?
William Stewart has 20 years in the financial industry, since December 2005, across 3 adviser firms.
What exams has William Stewart passed?
William Stewart has passed 3 licensing exams: the Series 6, Series 7 and Series 66. The earliest, the Series 6, was passed in August 1992.
Where did William Stewart work before WMS Group?
Before WMS Group, William Stewart was registered through Oneamerica Securities, Inc., December 2005 to March 2008.
Where is William Stewart based?
William Stewart’s registered office is in Folsom, LA.
Is William Stewart registered with FINRA?
No. William Stewart has no current broker registration.
How can I verify William Stewart’s record?
Search CRD 2231632 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Stewart’s full registration record.