Stacey J. Gillespie
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.
Stacey Jean Gillespie, who also goes by Stacey J Rivkin, Stacey Jean Rivkin, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 2002. Stacey had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 14, Series 53 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
January 27, 2021 - December 16, 2021
DELPHOS MMJ L.P.
October 21, 2020 - March 9, 2021
MODERN CAPITAL SECURITIES INC.
December 5, 2017 - December 2, 2019
DELPHOS MMJ L.P.
August 9, 2016 - July 19, 2017
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
August 3, 2016 - July 15, 2021
TRIVE NEW YORK LLC
August 2, 2007 - August 31, 2015
BOENNING & SCATTERGOOD, INC.
July 18, 2007 - December 10, 2009
AQUA TERRA ASSET MANAGEMENT LLC
July 17, 2007 - August 31, 2015
BOENNING & SCATTERGOOD, INC.
July 20, 2006 - July 10, 2007
LOCKWOOD FINANCIAL SERVICES, INC.
October 3, 2005 - December 31, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
August 8, 2005 - July 10, 2007
BNY ADVISORS
August 4, 2005 - July 10, 2007
PERSHING LLC
May 20, 2004 - August 11, 2005
OLD MUTUAL INVESTMENT PARTNERS
September 17, 2002 - April 30, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
April 9, 2002 - September 12, 2002
J.P. MORGAN SECURITIES 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DELPHOS MMJ L.P.
CRD#: 137389 / SEC#: , 8-67083
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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