Stanley L. Compton
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.
Stanley Leon Compton, who also goes by Stan Compton, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1969. Stanley had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2014 - December 28, 2015
MUTUAL SECURITIES, INC.
July 28, 2008 - December 5, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 12, 2005 - April 5, 2007
NYLIFE SECURITIES LLC
July 15, 2004 - November 17, 2005
FINANCIAL WEST GROUP
June 15, 2001 - July 16, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
November 7, 1975 - March 17, 1978
November 7, 1975 - June 22, 1999
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
December 3, 1971 - September 20, 1972
EQUITY FUNDING SECURITIES CORPORATION
April 2, 1969 - September 16, 1971
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 1
Date: 11/4/1975
Registered Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
