Stacy E. Orff-whitfield
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.
Stacy E Orff-whitfield, who also goes by Stacy E Orff, Stacy Elisabeth Orff, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 2000. Stacy had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 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 15, 2014 - September 22, 2015
ASSETMARK BROKERAGE, LLC
March 9, 2011 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
April 14, 2005 - July 16, 2010
CHARLES SCHWAB & CO., INC.
June 21, 2000 - July 16, 2010
CHARLES SCHWAB & CO., 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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
