Regina L. Stovall
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.
Regina Leann Stovall, who also goes by Regina Leann Hopson, Regina L Stovall, Regina Leann Stovall, Regina Stovall, was a registered financial professional .
Regina is a previously registered financial professional and started their career in finance in 2009. Regina had worked at 3 firms and has passed the Series 63, SIE 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
January 28, 2022 - September 25, 2023
TD AMERITRADE, INC.
June 22, 2016 - May 26, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2016 - May 26, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2014 - May 9, 2016
FIRST CLEARING, LLC
January 13, 2010 - December 31, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 7, 2009 - December 31, 2013
WELLS FARGO CLEARING SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
