Stuart C. Feinzig
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.
Stuart Charles Feinzig, who also goes by Stuart Feinzig, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1986. Stuart had worked at 10 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2020 - October 28, 2021
PURSHE KAPLAN STERLING INVESTMENTS
March 25, 2017 - December 21, 2018
MML INVESTORS SERVICES, LLC
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 19, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
April 19, 2005 - January 17, 2006
INVEST FINANCIAL CORPORATION
April 15, 2005 - January 17, 2006
INVEST FINANCIAL CORPORATION
December 12, 2003 - April 29, 2005
OSAIC FA, INC.
November 24, 2003 - April 29, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 24, 2003 - April 29, 2005
OSAIC FA, INC.
April 7, 2001 - November 24, 2003
VERAVEST INVESTMENT ADVISORS, INC.
January 24, 2001 - November 24, 2003
VERAVEST INVESTMENTS, INC.
April 8, 1986 - February 8, 2001
1717 CAPITAL MANAGEMENT COMPANY
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
Series 7TO
Date: 3/10/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/10/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 3/10/2024
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
