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Stanley Peter Kerry

CRD# 268522·Registered 1973 - 1994
Barred: Stanley Peter Kerry was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Stanley Peter Kerry was a registered financial advisor. Stanley was a previously registered financial professional and started their career in finance 1973 - 1994. Stanley had worked at 10 firms and has passed the Series 1 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

53 years in the financial services industry

Current & Past Employments

INVESTORS CAPITAL CORP.·CRD# 30613
BD
Lynnfield, MA
May 17, 1994 - July 12, 1994
EDI FINANCIAL, INC.·CRD# 15699
BD
Irving, TX
October 15, 1993 - February 12, 1996
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.·CRD# 13741
BD
El Paso, TX
May 23, 1991 - November 1, 1993
SECURITIES AMERICA, INC.·CRD# 10205
BD
Lavista, NE
October 23, 1989 - May 22, 1991
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
August 14, 1986 - January 1, 1990
NORTH AMERICAN INVESTMENT CORP.·CRD# 7568
BD
May 23, 1986 - August 19, 1986
USLIFE EQUITY SALES CORP.·CRD# 7962
BD
New York, NY
July 20, 1984 - June 5, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION·CRD# 6320
BD
January 2, 1973 - February 15, 1984
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
January 2, 1973 - February 15, 1984
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
January 2, 1973 - February 15, 1984

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Current Firm

IC
INVESTORS CAPITAL CORP.

INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054
BD
Terminated by SEC on 01/17/2017

Contact Information

Established

Massachusetts since 07/06/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER—
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event

22

Arbitration

11

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 1 — Registered Representative Examination

Passed Dec 1972

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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