Stephanie M. Haggerty
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.
Stephanie Murch Haggerty, who also goes by Stephanie M Delambert, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1986. Stephanie had worked at 6 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1999 - July 6, 2009
REGISTER FINANCIAL ASSOCIATES, INC.
June 25, 1993 - September 5, 1997
WACHOVIA SECURITIES, INC.
December 13, 1991 - June 22, 1993
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
April 13, 1989 - November 5, 1991
NYLIFE SECURITIES LLC
July 14, 1986 - December 31, 1988
MARSHALL & CO. SECURITIES, INC.
May 22, 1986 - October 10, 1986
EASTERN CAPITAL SECURITIES, 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
Current Firm
REGISTER FINANCIAL ASSOCIATES, INC.
CRD#: 30568 / SEC#: , 8-45012
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
