Stacy A. Kishpaugh
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.
Stacy Audra Kishpaugh, who also goes by Stacy Kishpaugh, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 2005. Stacy had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2016 - January 9, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
November 13, 2012 - March 26, 2015
AEGIS CAPITAL CORP.
August 2, 2012 - August 30, 2012
R. F. LAFFERTY & CO., INC.
May 27, 2011 - July 27, 2012
RODMAN & RENSHAW, LLC
June 20, 2008 - May 27, 2011
HUDSON SECURITIES,INC.
October 16, 2006 - May 17, 2007
HUDSON SECURITIES,INC.
October 4, 2005 - September 26, 2006
VIEWTRADE SECURITIES, INC.
July 21, 2005 - October 5, 2005
SEABOARD SECURITIES, INC.
May 2, 2005 - September 19, 2005
LEADER EQUITIES, INC.
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 55
Date: 10/24/2006
Limited Representative-Equity Trader ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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