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Stephanie Lynn Disabello

CRD# 4775918·Registered 2004 - 2019
Previously Registered: Being a previously registered professional could mean that Stephanie 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.

Professional Summary

Stephanie Lynn Disabello, who also goes by Stephanie Lynn Marshall, was a registered financial advisor. Stephanie was a previously registered financial professional and started their career in finance 2004 - 2019. Stephanie had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Stephanie Lynn Marshall

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years registered in the securities industry

Current & Past Employments

Past

MERCAP SECURITIES, LLCPast·CRD# 156607
BD
Atlanta, GA
February 8, 2018 - March 19, 2019
SPIRE SECURITIES, LLCPast·CRD# 144131
BD
Mclean, VA
September 21, 2015 - April 29, 2016
SPIRE WEALTH MANAGEMENT, LLCPast·CRD# 113908
RIA
Leesburg, VA
September 21, 2015 - March 31, 2016
MORGAN STANLEYPast·CRD# 149777
RIA
Washington, DC
June 1, 2009 - September 28, 2015
MORGAN STANLEYPast·CRD# 149777
BD
Washington, DC
June 1, 2009 - September 28, 2015
MORGAN STANLEY & CO. LLCPast·CRD# 8209
RIA
Washington, DC
August 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLCPast·CRD# 8209
BD
Washington, DC
June 16, 2008 - June 1, 2009
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
RIA
Vienna, VA
September 29, 2005 - May 7, 2008
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
BD
Vienna, VA
September 29, 2005 - May 7, 2008
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
RIA
Centreville, VA
October 5, 2004 - August 25, 2005
IDS LIFE INSURANCE COMPANYPast·CRD# 6321
BD
Minneapolis, MN
September 21, 2004 - August 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Minneapolis, MN
September 21, 2004 - August 25, 2005

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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

Contact Information

Established

Delaware since 12/29/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2004About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2004About the Series 7 exam

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CRS (Client Relationship Summary)

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

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