Stanley F. Van Sant
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stanley Fields Van Sant, who also goes by Stanley Fields Vansant, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1983. Stanley had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 12, Series 53, Series 4, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - October 3, 2019
TD AMERITRADE, INC.
June 19, 2009 - February 26, 2018
SCOTTRADE, INC.
February 2, 2007 - June 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2007 - June 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2004 - February 5, 2007
AMERIPRISE ADVISOR SERVICES, INC.
April 30, 2004 - February 5, 2007
AMERIPRISE ADVISOR SERVICES, INC.
February 4, 1999 - May 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1998 - May 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 5, 1989 - February 10, 1998
MERCANTILE INVESTMENT SERVICES, INC.
February 27, 1985 - September 17, 1988
BLUNT ELLIS & LOEWI INCORPORATED
August 4, 1983 - January 18, 1985
O'NEAL EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 4/14/1998
NYSE Branch Manager ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
