Stacy L. Passey
Professional summary
Stacy Lynn Passey 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 1996. Prior to being barred, Stacy had worked at 5 firms, which includes CITICORP INVESTMENT SERVICES, CAL FED INVESTMENTS, A. G. EDWARDS & SONS INC., CITIGROUP GLOBAL MARKETS INC., INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2003 - February 19, 2003
CITICORP INVESTMENT SERVICES
July 30, 1999 - February 5, 2003
CAL FED INVESTMENTS
April 28, 1998 - December 4, 1998
A. G. EDWARDS & SONS, INC.
June 4, 1996 - December 16, 1997
CITIGROUP GLOBAL MARKETS INC.
March 12, 1996 - April 24, 1996
INTERFIRST CAPITAL CORPORATION
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
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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