Theodore Stagg
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.
Theodore Stagg JR was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1972. Theodore had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2011 - August 21, 2018
STAGG INVESTMENT MANAGEMENT, LLC
August 31, 2009 - December 31, 2009
STAGG INVESTMENT MANAGEMENT, LLC
January 11, 2005 - June 16, 2009
LPL FINANCIAL LLC
January 10, 2005 - June 16, 2009
LPL FINANCIAL LLC
July 30, 2002 - April 15, 2004
UBS FINANCIAL SERVICES INC.
July 2, 1996 - April 15, 2004
UBS FINANCIAL SERVICES INC.
July 31, 1993 - April 8, 1996
CITIGROUP GLOBAL MARKETS INC.
March 28, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
May 22, 1989 - April 3, 1991
CITIGROUP GLOBAL MARKETS INC.
February 29, 1984 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 28, 1984 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 18, 1972 - April 28, 1973
LEGG MASON WOOD WALKER, INCORPORATED
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
Series 1
Date: 12/13/1960
Registered Representative ExaminationCurrent Firm
STAGG INVESTMENT MANAGEMENT, LLC
CRD#: 147621 / SEC#:
Contact information
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.
