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SD

Stephanie L. Disabello

Some features on this profile are disabled
CRD#: 4775918
SD

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 Lynn Disabello, who also goes by Stephanie Lynn Marshall, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2004. Stephanie had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Lynn Marshall

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

February 8, 2018 - March 19, 2019

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

September 21, 2015 - March 31, 2016

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
Leesburg, VA
Past

September 21, 2015 - April 29, 2016

SPIRE SECURITIES, LLC

BD
CRD#: 144131
MCLEAN, VA
Past

June 1, 2009 - September 28, 2015

MORGAN STANLEY

RIA
CRD#: 149777
WASHINGTON, DC
Past

June 1, 2009 - September 28, 2015

MORGAN STANLEY

BD
CRD#: 149777
WASHINGTON, DC
Past

August 19, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WASHINGTON, DC
Past

June 16, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WASHINGTON, DC
Past

September 29, 2005 - May 7, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
VIENNA, VA
Past

September 29, 2005 - May 7, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
VIENNA, VA
Past

October 5, 2004 - August 25, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CENTREVILLE, VA
Past

September 21, 2004 - August 25, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 21, 2004 - August 25, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
IAR
Series 66
Date: 10/4/2004
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: 9/20/2004
General Securities Representative Examination

Current Firm

MS
MERCAP SECURITIES, LLC
MERCAP SECURITIES LLC | MERCAP SECURITIES, LLC

CRD#: 156607 / SEC#: , 8-68810

BD
Terminated by SEC on 01/24/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SFA HOLDINGS, INC.ENTITY
GOLD, RANDY SCOTTPRESIDENT6952957
HEMDAL, MEGEN ANNCHIEF COMPLIANCE OFFICER5603503
HOLLOWAY, LAREE LYNNEFINOP1365566

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

MERCAP SECURITIES, LLC

CRD#: 156607

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