Stephanie A. Kracht
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 Anne Kracht was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1991. Stephanie had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2014 - November 3, 2015
QUEST CAPITAL STRATEGIES, INC.
September 13, 2010 - January 9, 2014
NEW ENGLAND SECURITIES
October 9, 2009 - September 9, 2010
WADDELL & REED
October 9, 2009 - September 9, 2010
WADDELL & REED
February 10, 2009 - August 24, 2009
U.S. BANCORP INVESTMENTS, INC.
February 9, 2009 - August 24, 2009
U.S. BANCORP INVESTMENTS, INC.
February 11, 2004 - February 5, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 29, 2002 - January 7, 2004
U.S. BANCORP INVESTMENTS, INC.
April 8, 1999 - February 21, 2003
FISERV INVESTOR SERVICES, INC.
June 15, 1998 - April 6, 1999
FIRST BROKERAGE AMERICA, L.L.C.
August 22, 1997 - February 20, 1998
CETERA ADVISORS LLC
May 24, 1995 - August 25, 1995
MARKETING ONE SECURITIES, INC.
January 30, 1991 - April 18, 1995
INVEST FINANCIAL CORPORATION
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
