Amber R. Mayberry
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.
Amber R Mayberry, who also goes by Amber R Barger, Amber Ruth Barger, Amber Ruth Mayberry, Amber R Puckett, Amber Ruth Puckett, was a registered financial professional .
Amber is a previously registered financial professional and started their career in finance in 2007. Amber had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2020 - April 23, 2026
STIFEL INDEPENDENT ADVISORS, LLC
March 19, 2020 - April 23, 2026
STIFEL INDEPENDENT ADVISORS, LLC
September 10, 2015 - April 23, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 3, 2015 - April 23, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 13, 2013 - April 16, 2015
USAA FINANCIAL PLANNING SERVICES
November 25, 2013 - April 16, 2015
USAA FINANCIAL ADVISORS, INC.
April 3, 2012 - November 15, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
March 21, 2012 - November 15, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
November 29, 2010 - October 29, 2011
WFG INVESTMENTS, INC.
July 28, 2010 - December 8, 2010
CHARLES SCHWAB & CO., INC.
May 14, 2008 - June 11, 2010
RAYMOND JAMES & ASSOCIATES, INC.
January 1, 2008 - May 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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
Current Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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.
