Maria J. Lindsley
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.
Maria Jean Lindsley, who also goes by Maria Jean Stoffel, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1993. Maria had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2022 - December 31, 2024
KESTRA INVESTMENT SERVICES, LLC
January 24, 2018 - August 27, 2022
WOODBURY FINANCIAL SERVICES, INC.
January 24, 2018 - August 27, 2022
OSAIC SERVICES, INC.
January 24, 2018 - August 27, 2022
OSAIC WEALTH, INC.
January 24, 2018 - August 27, 2022
FSC SECURITIES CORPORATION
January 11, 2016 - November 10, 2017
SII INVESTMENTS, INC.
January 11, 2016 - November 10, 2017
INVESTMENT CENTERS OF AMERICA, INC.
January 11, 2016 - November 10, 2017
INVEST FINANCIAL CORPORATION
May 19, 2010 - November 10, 2017
NATIONAL PLANNING CORPORATION
September 8, 2001 - July 14, 2008
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 27, 1999 - July 25, 2001
WOODBURY FINANCIAL SERVICES, INC.
December 10, 1993 - July 27, 1999
VOYA FINANCIAL ADVISORS, 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
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 |
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.
