Larry P. Staley
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.
Larry Paul Staley, who also goes by Bucky Staley, Larry Paul Staley, Larry Staley, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1968. Larry had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2015 - May 13, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 20, 2008 - October 5, 2015
WEDBUSH SECURITIES INC.
May 10, 1989 - November 17, 2008
PEACOCK, HISLOP, STALEY & GIVEN, INC.
August 23, 1973 - June 15, 1989
YOUNG, SMITH & PEACOCK, INC.
January 2, 1968 - September 23, 1973
DEAN WITTER & CO. 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/26/1967
Registered Representative ExaminationSeries 00
Date: 12/13/1975
General Securities Principal ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
