Misty M. Pressley
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.
Misty M Pressley, who also goes by Misty M Phillips, was a registered financial professional .
Misty is a previously registered financial professional and started their career in finance in 2003. Misty had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 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
August 26, 2015 - May 31, 2016
TCFG WEALTH MANAGEMENT, LLC
August 28, 2012 - January 31, 2014
UBS FINANCIAL SERVICES INC.
August 28, 2012 - January 31, 2014
UBS FINANCIAL SERVICES INC.
May 28, 2010 - September 5, 2012
MORGAN STANLEY
May 28, 2010 - September 5, 2012
MORGAN STANLEY
March 30, 2005 - March 27, 2009
STANFORD GROUP COMPANY
March 30, 2005 - March 27, 2009
STANFORD GROUP COMPANY
August 11, 2004 - March 24, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2003 - March 24, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 17, 2003 - November 24, 2003
WELLS FARGO CLEARING SERVICES, LLC
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
TCFG WEALTH MANAGEMENT, LLC
CRD#: 164153 / SEC#: , 8-69089
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Civil Event | 1 |
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.
