Paul D. Stanley
Professional summary
Paul Douglas Stanley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Paul had worked at 9 firms, which includes WADDELL & REED, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., OSAIC FA INC., UBS FINANCIAL SERVICES INC., UVEST FINANCIAL SERVICES GROUP INC., VISION INVESTMENT SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., 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 15, 2013 - January 22, 2016
WADDELL & REED
October 15, 2013 - January 22, 2016
WADDELL & REED
October 1, 2012 - October 15, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 15, 2013
J.P. MORGAN SECURITIES LLC
June 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 16, 2009 - June 15, 2010
OSAIC FA, INC.
July 16, 2009 - June 15, 2010
OSAIC FA, INC.
March 13, 2008 - January 6, 2009
UBS FINANCIAL SERVICES INC.
March 11, 2008 - January 6, 2009
UBS FINANCIAL SERVICES INC.
December 14, 2007 - March 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 10, 2007 - March 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
April 21, 2003 - December 10, 2007
VISION INVESTMENT SERVICES, INC.
January 10, 2001 - April 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 20, 1998 - January 8, 2001
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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