Stacy J. Mcbee
Professional summary
Stacy Joe Mcbee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stacy is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Stacy had worked at 8 firms, which includes VFINANCE INVESTMENTS INC, OPPENHEIMER & CO. INC., CARTER TERRY & COMPANY INC., MARION BASS SECURITIES CORPORATION, TRUIST INVESTMENT SERVICES INC., J.J.B. HILLIARD W.L. LYONS LLC, J.C. BRADFORD & CO., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2002 - February 13, 2004
VFINANCE INVESTMENTS, INC
February 20, 2002 - October 23, 2002
OPPENHEIMER & CO. INC.
February 2, 2001 - March 11, 2002
CARTER, TERRY & COMPANY, INC.
August 22, 2000 - February 22, 2001
MARION BASS SECURITIES CORPORATION
August 19, 1999 - August 29, 2000
TRUIST INVESTMENT SERVICES, INC.
July 24, 1998 - October 1, 1999
J.J.B. HILLIARD, W.L. LYONS, LLC
June 26, 1998 - July 20, 1998
J.J.B. HILLIARD, W.L. LYONS, LLC
November 12, 1996 - July 14, 1998
J.C. BRADFORD & CO.
August 9, 1995 - October 30, 1996
MORGAN STANLEY DW 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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| 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.
