Michelle Stauder
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.
Michelle Stauder, who also goes by Michelle Fundarek, Michelle Peters, Michelle Stauder Fundarek, was a registered financial advisor .
Michelle is a previously registered financial advisor and started their career in finance in 1999. Michelle had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2011 - December 2, 2011
FIRST BROKERAGE AMERICA, L.L.C.
April 2, 2009 - February 4, 2010
LPL FINANCIAL LLC
March 31, 2009 - February 4, 2010
LPL FINANCIAL LLC
May 29, 2007 - April 20, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 20, 2009
CITIGROUP GLOBAL MARKETS INC.
March 28, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 9, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 1, 2000 - December 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1999 - January 6, 2000
CITIGROUP GLOBAL MARKETS 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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| 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.
