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SS

Stephanie A. Shuler

Some features on this profile are disabled
CRD#: 4629103
SS

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.

Stephanie Ascui Shuler, who also goes by Stephanie Ascui Shuler, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2003. Stephanie had worked at 10 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Ascui Shuler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 22, 2024 - November 11, 2024

COMMONGOOD SECURITIES LLC

BD
CRD#: 289317
WINTER PARK, FL
Past

November 18, 2021 - September 7, 2022

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
CHICAGO, IL
Past

February 6, 2017 - October 1, 2021

BLUE OWL SECURITIES

BD
CRD#: 283250
NEW YORK, NY
Past

July 8, 2014 - February 10, 2017

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
SAN FRANCISCO, CA
Past

January 13, 2014 - February 10, 2017

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
SAN FRANCISCO, CA
Past

April 27, 2011 - January 21, 2014

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

February 10, 2011 - March 22, 2011

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BELLEVUE, WA
Past

October 9, 2007 - December 31, 2010

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

June 15, 2007 - September 6, 2007

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
CHARLOTTE, NC
Past

November 23, 2004 - May 26, 2005

JOHN HANCOCK DISTRIBUTORS LLC

RIA
CRD#: 5249
STAMFORD, CT
Past

July 19, 2004 - May 26, 2005

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

September 3, 2003 - July 12, 2004

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2003
General Securities Representative Examination

Current Firm

CS
COMMONGOOD SECURITIES LLC
COMMONGOOD SECURITIES LLC

CRD#: 289317 / SEC#: , 8-69989

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
181 W Stovin Ave, Winter Park, FL 32789
Mailing Address
P.o. Box 791, Winter Park, FL 32789
Phone number
(407) 476-5453
Established
Florida since 06/30/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMONGOOD CAPITAL LLCDIRECT OWNER
CROSS, ANNAFINOP5894013
SHAFER, JEFFREY ROSSCEO/CCO2785447

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.

Company Information

COMMONGOOD SECURITIES LLC

CRD#: 289317

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