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Stacey B. Nussbaum

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CRD#: 4638931
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Professional summary

Stacey Beth Nussbaum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stacey is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Stacey had worked at 3 firms, which includes CONCORD CAPITAL MARKETS LLC, CREDIT SUISSE SECURITIES (USA) LLC, BNY CAPITAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 6, 2007 - May 27, 2009

CONCORD CAPITAL MARKETS, LLC

BD
CRD#: 135817
NEW YORK, NY
Past

August 30, 2005 - September 4, 2007

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 15, 2003 - August 5, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY

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
RR
Series 63
Date: 6/9/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2005
General Securities Principal Examination

Current Firm

CC
CONCORD CAPITAL MARKETS, LLC
CONCORD CAPITAL MARKETS, LLC | INSCAP CAPITAL MARKETS, LLC

CRD#: 135817 / SEC#: , 8-66952

BD
Terminated by SEC on 03/04/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/14/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INSCAP PARTNERS, LLCOWNER
FERNANDEZ, JOSEPH LOUISFINANCIAL AND OPERATIONS PRINCIPAL1968118
WELLES, LAUREN BETHCHEIF EXECUTIVE OFFICER2587048
WELLES, LAUREN BETHCHIEF COMPLIANCE OFFICER

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

CONCORD CAPITAL MARKETS, LLC

CRD#: 135817

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