Cheryl A. Stallings
Professional summary
Cheryl Ann Stallings was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cheryl is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Cheryl had worked at 5 firms, which includes KESTRA INVESTMENT SERVICES LLC, KESTRA ADVISORY SERVICES LLC, LPL FINANCIAL LLC, BANC OF AMERICA INVESTMENT SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - February 9, 2018
KESTRA INVESTMENT SERVICES, LLC
August 16, 2017 - August 17, 2017
KESTRA ADVISORY SERVICES, LLC
September 8, 2009 - August 3, 2017
LPL FINANCIAL LLC
September 8, 2009 - August 3, 2017
LPL FINANCIAL LLC
April 25, 2003 - September 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 25, 2003 - September 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 13, 1993 - April 29, 2003
MORGAN STANLEY DW INC.
July 27, 1993 - April 29, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 11/25/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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