Stacey D. Reynolds-peterson
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.
Stacey Dale Reynolds-peterson, who also goes by Stacey Dale Kerrigan, Stacey Dale Peterson, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 1999. Stacey had worked at 7 firms and has passed the Series 63, SIE 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
September 22, 2017 - November 14, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
July 27, 2009 - September 26, 2017
GIRARD SECURITIES, INC.
June 25, 2008 - August 20, 2009
FINANCIAL WEST GROUP
September 18, 2002 - July 30, 2009
THE SHEMANO GROUP, INC.
May 22, 2002 - August 9, 2002
LPL FINANCIAL LLC
January 8, 2001 - April 18, 2002
LEHMAN BROTHERS INC.
June 1, 1999 - December 22, 2000
MOORS & CABOT, 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
