Stephanie T. Failla
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.
Stephanie Tereasa Failla, who also goes by Stephanie Teresa Failla, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1986. Stephanie had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - September 1, 2017
NEXT FINANCIAL GROUP, INC.
October 26, 2015 - September 1, 2017
NEXT FINANCIAL GROUP, INC.
May 1, 2012 - October 26, 2015
J.P. TURNER & COMPANY, L.L.C.
January 4, 2010 - May 10, 2012
B. RILEY WEALTH MANAGEMENT
September 4, 2007 - December 31, 2009
NATIONS FINANCIAL GROUP, INC.
November 16, 2005 - September 6, 2007
HAMERSHLAG, DODELES & CO., LLC
May 8, 1995 - November 17, 2005
FIRST ALLIED SECURITIES, INC.
October 27, 1989 - May 8, 1995
MORGAN STANLEY DW INC.
March 7, 1989 - October 31, 1989
PATAGON.COM SECURITIES CORP.
May 27, 1987 - March 10, 1989
INVESTORS CENTER, INC.
June 24, 1986 - June 5, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 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.
