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SX

Stephanie J. Xiao

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CRD#: 7013792
SX

Professional summary

Stephanie Jing Wen Xiao was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephanie is a previously registered financial professional and started their career in finance in 2018. Prior to being barred, Stephanie had worked at 1 firm, which includes PFM FUND DISTRIBUTORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Xiao

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 19, 2018 - July 15, 2021

PFM FUND DISTRIBUTORS, INC.

BD
CRD#: 114474
HARRISBURG, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/17/2018
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PF
PFM FUND DISTRIBUTORS, INC.
PFM FUND DISTRIBUTORS, INC. | PFMAM, INC.

CRD#: 114474 / SEC#: , 8-53496

BD
Terminated by SEC on 12/06/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 07/16/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLARK, SHANNON KEITHFINANCIAL & OPERATIONS PRINCIPAL5829700
WALTER, JEFFREY ADAMCHIEF COMPLIANCE OFFICER2143608

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.

Company Information

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

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