Stuart C. Tauber
Professional summary
Stuart Charles Tauber is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Bethesda, Maryland.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 4 firms and has passed the Series 63, SIE, Series 6TO and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Charles Tauber's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6903 Rockledge Drive Suite 1400, Bethesda, MD 20817August 30, 2010 - July 16, 2014
KESTRA INVESTMENT SERVICES, LLC
January 2, 1997 - August 31, 2010
MML INVESTORS SERVICES, LLC
May 21, 1992 - December 31, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 21, 1992 - December 31, 1996
OSAIC FA, 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
(4/10/2024)
(11/5/2024)
(12/20/2022)
(8/21/2023)
(8/21/2023)
(12/20/2022)
(7/24/2025)
(4/10/2024)
Exams
Series 6TO
Date: 10/27/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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