Vincent A. Stanley
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.
Vincent Alonzo Stanley, who also goes by VInce Stanley, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1995. Vincent had worked at 6 firms and has passed the Series 65, 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
September 6, 2016 - July 3, 2018
CUNA BROKERAGE SERVICES, INC.
August 26, 2016 - July 3, 2018
CUNA BROKERAGE SERVICES, INC.
November 25, 2015 - August 19, 2016
FSC SECURITIES CORPORATION
November 25, 2015 - August 19, 2016
FSC SECURITIES CORPORATION
November 4, 2011 - November 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2011 - November 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2008 - November 7, 2011
BANCWEST INVESTMENT SERVICES, INC.
March 20, 1999 - November 7, 2011
BANCWEST INVESTMENT SERVICES, INC.
April 30, 1997 - March 26, 1999
MARKETING ONE SECURITIES, INC.
September 6, 1995 - June 9, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
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.
