M B. Stringer
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.
M B Stringer JR was a registered financial professional .
M is a previously registered financial professional and started their career in finance in 1986. M 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
October 15, 2010 - February 27, 2015
CARTY, HARDING & HEARN, INC.
June 30, 2006 - August 1, 2008
CARTY, HARDING & HEARN, INC.
January 20, 2004 - September 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2000 - September 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 29, 1993 - June 23, 2000
NBC CAPITAL MARKETS GROUP, INC.
January 1, 1991 - October 29, 1993
VINING-SPARKS IBG, LLC
October 26, 1990 - October 29, 1993
ICBA SECURITIES
September 10, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
March 3, 1986 - October 1, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, 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
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
