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WS

Wanda L. Stover

Some features on this profile are disabled
CRD#: 1278257
WS

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.

Wanda Lynne Stover was a registered financial professional .

Wanda is a previously registered financial professional and started their career in finance in 1984. Wanda had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 16, 2011 - September 29, 2011

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

June 23, 2009 - May 4, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

June 22, 2009 - May 4, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

December 16, 2003 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CAMDEN, SC
Past

July 9, 1998 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

November 13, 1995 - July 7, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 3, 1990 - November 22, 1995

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 24, 1988 - October 12, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 26, 1984 - March 16, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/19/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/23/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/1996
General Securities Principal Examination

Current Firm

BD
BOFA DISTRIBUTORS, INC.
BOFA DISTRIBUTORS, INC. | LIBERTY FUNDS DISTRIBUTOR, INC. | LIBERTY FINANCIAL INVESTMENTS, INC. | COLUMBIA MANAGEMENT DISTRIBUTORS, INC. | COLUMBIA FUNDS DISTRIBUTOR, INC. | COLONIAL INVESTMENT SERVICES, INC.

CRD#: 30683 / SEC#: , 8-44998

BD
Terminated by SEC on 07/25/2016
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 06/04/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BOFA ADVISORS, LLCSOLE MEMBER
DONOVAN, MICHAEL PATRICKCHIEF COMPLIANCE OFFICER2195452
DOUGLAS, LINDA ANNFINOP5862296
PELZAR, MICHAEL JOHNPRESIDENT AND DIRECTOR4667498

Disclosures

Regulatory Event2
Civil Event2

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.

Company Information

BOFA DISTRIBUTORS, INC.

CRD#: 30683

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Contact information

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