Barbara A. Stockli
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.
Barbara Ann Stockli, who also goes by Barbara Ann Zmuda, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2000. Barbara had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2021 - August 27, 2021
ALLY INVEST SECURITIES LLC
March 15, 2018 - July 13, 2021
LPL FINANCIAL LLC
March 14, 2018 - July 13, 2021
LPL FINANCIAL LLC
August 17, 2015 - March 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2015 - March 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 8, 2010 - August 17, 2015
JHS CAPITAL ADVISORS, LLC
September 2, 2010 - August 14, 2015
JHS CAPITAL ADVISORS, LLC
June 25, 2008 - September 3, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 17, 2008 - September 3, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 28, 2005 - August 21, 2006
TRUIST INVESTMENT SERVICES, INC.
June 27, 2005 - August 21, 2006
TRUIST INVESTMENT SERVICES, INC.
July 1, 2004 - July 15, 2005
TRUIST SECURITIES, INC.
June 25, 2004 - June 30, 2005
TRUIST SECURITIES, INC.
July 1, 2003 - July 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 10, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, 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
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
