Mitzi S. Stamps
Professional summary
Mitzi Sue Stamps was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitzi is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Mitzi had worked at 1 firm, which includes ASSET PLANNING CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1994 - March 7, 2003
ASSET PLANNING CORPORATION
Primary Firm SEC Registration
ASSET PLANNING CORPORATION
CRD#: 7890 / SEC#: 801-11448, 8-23612
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 10/28/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ASSET PLANNING CORPORATION
CRD#: 7890 / SEC#: 801-11448, 8-23612
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 928 |
| AUM (Assets Under Management) | $ 406,642,405 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/05/2023 | ||
| 12/22/2022 |
Red Flags
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