Theresa W. Trafficante
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.
Theresa Williams Trafficante, who also goes by Theresa Ann Ferson, Theresa Ann Kelley, Theresa Ann Kroll, Theresa Ann Williams, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2001. Theresa had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10, Series 9 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
November 23, 2011 - July 24, 2012
STILLPOINT CAPITAL, LLC
October 28, 2009 - June 12, 2019
VERGEPOINTE WEALTH MANAGEMENT, LLC
December 17, 2007 - November 23, 2009
KMS FINANCIAL SERVICES, INC.
December 17, 2007 - November 23, 2009
KMS FINANCIAL SERVICES, INC.
May 8, 2007 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
December 14, 2004 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
October 3, 2001 - September 12, 2003
LPL FINANCIAL 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
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 States and Territories)
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.
