Stacy E. Cheney-jamison
Professional summary
Stacy Elizabeth Cheney-jamison was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stacy is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Stacy had worked at 13 firms, which includes CUNA BROKERAGE SERVICES INC., CAITLIN JOHN LLC, SB ADVISORY LLC, IFS SECURITIES, FIRST AMERICAN SECURITIES INC., VALIC FINANCIAL ADVISORS INC., EDWARD JONES, MML INVESTORS SERVICES LLC, VOYA FINANCIAL PARTNERS LLC, MISSIONSQUARE INVESTMENT SERVICES, ALLSTATE FINANCIAL SERVICES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2016 - August 1, 2017
CUNA BROKERAGE SERVICES, INC.
September 9, 2016 - August 1, 2017
CUNA BROKERAGE SERVICES, INC.
January 19, 2016 - August 22, 2016
CAITLIN JOHN, LLC
March 9, 2015 - October 8, 2015
SB ADVISORY, LLC
March 9, 2015 - October 8, 2015
IFS SECURITIES
March 21, 2013 - February 19, 2015
FIRST AMERICAN SECURITIES, INC.
January 16, 2013 - February 19, 2015
FIRST AMERICAN SECURITIES, INC.
July 16, 2009 - January 3, 2013
VALIC FINANCIAL ADVISORS, INC.
July 16, 2009 - January 3, 2013
VALIC FINANCIAL ADVISORS, INC.
February 12, 2008 - July 8, 2009
EDWARD JONES
February 11, 2008 - July 8, 2009
EDWARD JONES
December 19, 2007 - February 8, 2008
MML INVESTORS SERVICES, LLC
February 24, 2005 - December 11, 2007
VOYA FINANCIAL PARTNERS, LLC
February 22, 2005 - December 11, 2007
VOYA FINANCIAL PARTNERS, LLC
August 9, 2004 - January 10, 2005
MISSIONSQUARE INVESTMENT SERVICES
January 13, 2004 - July 13, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 11, 2003 - December 8, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
January 18, 2001 - December 8, 2003
IDS LIFE INSURANCE COMPANY
January 18, 2001 - December 8, 2003
AMERIPRISE FINANCIAL SERVICES, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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