Kevin S. Stapleton
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.
Kevin Scott Stapleton, who also goes by Ulrich Scott Stapleton, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 3 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
December 27, 2016 - January 14, 2021
ADVANCED PRACTICE ADVISORS, LLC
January 1, 2008 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 29, 1986 - January 3, 2008
A. G. EDWARDS & SONS, 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
ADVANCED PRACTICE ADVISORS, LLC
CRD#: 154084 / SEC#: 801-71514
Contact information
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.
