Stoughton M. Conn
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.
Stoughton Minetta Conn, who also goes by Minetta Stoughton Conn, Stoughton M Conn, Stoughton Conn, was a registered financial professional .
Stoughton is a previously registered financial professional and started their career in finance in 1987. Stoughton had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 5 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 16, 2014 - January 23, 2018
FALCON SQUARE CAPITAL, LLC
November 25, 2013 - July 17, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
April 23, 2012 - November 4, 2013
CROWELL, WEEDON & CO.
August 11, 2011 - April 17, 2012
OPPENHEIMER & CO. INC.
February 24, 2006 - August 8, 2011
STONE & YOUNGBERG LLC
May 8, 2001 - February 22, 2006
COMMERCE BROKERAGE SERVICES, INC.
October 25, 1995 - November 13, 1998
HARRIS NESBITT CORP.
April 23, 1991 - August 11, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
April 10, 1990 - August 11, 1995
SANWA SECURITIES (USA) CO., L.P.
December 20, 1988 - March 20, 1990
CM&M FUTURES INC.
July 25, 1987 - March 20, 1990
HSBC SECURITIES (USA) 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
Series 5
Date: 8/27/1986
Interest Rate Options ExaminationCurrent Firm
FALCON SQUARE CAPITAL, LLC
CRD#: 165225 / SEC#: , 8-69147
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
