Shaugn S. Stanley
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.
Shaugn Stephen Stanley was a registered financial professional .
Shaugn is a previously registered financial professional and started their career in finance in 1989. Shaugn had worked at 6 firms and has passed the Series 63, Series 7, Series 24, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - May 17, 2012
THOMAS WEISEL PARTNERS LLC
October 1, 1997 - November 9, 1998
BANC OF AMERICA SECURITIES LLC
April 18, 1997 - October 1, 1997
MONTGOMERY SECURITIES
June 15, 1993 - April 17, 1997
NATIONAL FINANCIAL SERVICES LLC
January 9, 1992 - April 17, 1997
FIDELITY BROKERAGE SERVICES LLC
February 14, 1989 - November 26, 1991
RAUSCHER PIERCE REFSNES, 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 8
Date: 9/25/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THOMAS WEISEL PARTNERS LLC
CRD#: 46237 / SEC#: 801-56577, 8-51354
Contact information
Disclosures
| Regulatory Event | 27 |
| Civil Event | 1 |
Red Flags
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