Corey M. Stapleton

STAPLETON FINANCIAL GROUP

Billings, MT 59102

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CRD#: 2932434

Professional summary

Corey Mark Stapleton is a registered financial advisor currently at STAPLETON FINANCIAL GROUP located in Billings, Montana.

Corey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Corey has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Mark Stapleton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 25, 2016 - Present

STAPLETON FINANCIAL GROUP

Office #1: 1511 14th Street West, Billings, MT 59102

RIA

CRD#: 284716

Billings, MT

Past

October 1, 1998 - August 25, 2016

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Billings, MT

Past

September 4, 1997 - August 25, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

Billings, MT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Montana
(8/25/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2003

General Securities Principal Examination

Current Firm

STAPLETON FINANCIAL GROUP

STAPLETON & CO., LLC DBA STAPLETON FINANCIAL GROUP | STAPLETON FINANCIAL GROUP

CRD#: 284716 / SEC#: 801-108229

RIA

Registered Investment Advisory firm - (3/29/2017 Terminated)

Montana

Registered Investment Advisory firm - (2/23/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1511 14th Street West, Billings, MT 59102

Mailing Address

Phone number

(406) 655-3800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 9,908,055

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.

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Corey M. Stapleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Mark Stapleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

STAPLETON FINANCIAL GROUP

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/1997

SIE

Date: 8/25/2016

Series 7

Date: 6/29/1998

Series 6

Date: 9/3/1997

Series 24

Date: 9/27/2003

Current Firm

STAPLETON FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STAPLETON FINANCIAL GROUP

TRUST BUT VERIFY

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