Stephanie A. Feldt
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 Feldt, who also goes by Stephanie A Ford, Stephanie Anne Ford, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1992. Stephanie had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - March 29, 2012
BARCLAYS CAPITAL INC.
December 14, 2007 - July 7, 2010
DEUTSCHE BANK SECURITIES INC.
April 22, 1999 - September 25, 2003
THOMAS WEISEL PARTNERS LLC
October 6, 1998 - March 3, 1999
CIBC WORLD MARKETS CORP.
August 16, 1996 - October 12, 1998
CITIGROUP GLOBAL MARKETS INC.
October 6, 1995 - June 21, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 6, 1995 - June 21, 1996
MSI FINANCIAL SERVICES, INC.
October 5, 1992 - April 20, 1995
MORGAN STANLEY DW INC.
August 20, 1992 - September 18, 1992
LEHMAN BROTHERS 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 55
Date: 1/24/2011
Limited Representative-Equity Trader ExamSeries 8
Date: 10/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
