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Michael Ray Stallings

CRD# 2220336·Registered 1992 - 2002
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Ray Stallings, who also goes by Mike Stallings, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1992 - 2002. Michael had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Stallings

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

IRON STREET SECURITIES INC.·CRD# 46338
BD
Salina, KS
January 12, 2000 - August 12, 2002
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.·CRD# 13609
BD
Cedar Rapids, IA
May 28, 1996 - December 31, 1999
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
July 5, 1994 - May 8, 1996
FOSTER JEFFRIES SECURITIES, LLC·CRD# 30144
BD
Westbury, NY
September 18, 1992 - June 9, 1994
SMITH, BENTON & HUGHES, INC.·CRD# 20877
BD
Los Angeles, CA
August 19, 1992 - September 21, 1992

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Current Firm

IS
IRON STREET SECURITIES INC.

IRON STREET SECURITIES INC.

CRD#: 46338 / SEC#: 8-51387
BD
Terminated by SEC on 10/15/2006

Contact Information

Established

Kansas since 07/30/1997

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HAMMAN, ROBERT LEECHIEF COMPLIANCE OFFICER (CCO)827526
HAMMAN, ROBERT LEEPRESIDENT SEC. TREAS - DIRECTOR827526

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1995About the Series 24 exam

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CRS (Client Relationship Summary)

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

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