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Farley C. Shiner

Some features on this profile are disabled
CRD#: 1976916
FS

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.

Farley Carr Shiner was a registered financial professional .

Farley is a previously registered financial professional and started their career in finance in 1996. Farley had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 16 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 28, 2013 - November 7, 2018

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
Richmond, VA
Past

January 23, 2013 - November 6, 2018

STERLING CAPITAL MANAGEMENT LLC

RIA
CRD#: 135405
RICHMOND, VA
Past

March 27, 2002 - January 15, 2013

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
RICHMOND, VA
Past

January 9, 2002 - January 15, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

May 5, 1999 - September 7, 1999

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

August 19, 1996 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

BD
CRD#: 3309
RICHMOND, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/8/2002
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 12/30/2002
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/2002
General Securities Representative Examination

Current Firm

SC
STERLING CAPITAL DISTRIBUTORS, LLC
ABN AMRO DISTRIBUTION SERVICES (USA), INC. | STERLING CAPITAL DISTRIBUTORS, LLC | STERLING CAPITAL DISTRIBUTORS, INC. | BB&T AM DISTRIBUTORS, INC. | ASTON FUNDS DISTRIBUTORS, INC.

CRD#: 103934 / SEC#: , 8-52396

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

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