Vernal J. Shipley
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.
Vernal Jay Shipley, who also goes by Vern Shipley, was a registered financial professional .
Vernal is a previously registered financial professional and started their career in finance in 1984. Vernal had worked at 10 firms and has passed the Series 63, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 1993 - January 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 15, 1993 - July 7, 1993
SECURITIES RESOURCE GROUP, LTD.
August 19, 1992 - November 27, 1992
PRINCETON AMERICAN EQUITIES CORPORATION
February 15, 1990 - August 7, 1990
BOUCHER, OEHMKE & COMPANY
June 20, 1988 - November 11, 1989
NATIONAL SECURITIES CORPORATION
November 19, 1985 - July 9, 1988
FIRST ARIZONA INVESTMENT SECURITIES, INC.
February 8, 1985 - September 10, 1985
STONERIDGE SECURITIES, INC.
September 4, 1984 - February 20, 1985
WALL STREET WEST, INC.
July 17, 1984 - August 28, 1984
CONTINENTAL AMERICAN SECURITIES, INC.
January 25, 1984 - July 27, 1984
RENNIE & COMPANY, 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
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
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