Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PAUL DOUGLAS STANLEY
PAUL STANLEY
CRD#: 3134889
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200720082009201020112012201320142015201620172018IAWADDELL & REED (CRD# 866)2013 - 2016 (2 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2009 - 2010 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2009 (<1 year)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2007 - 2008 (<1 year)
Disclosure(s)
View By:
3/14/2017
Regulatory
Final
1/8/2016
Employment Separation After Allegations
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/15/2013 - 01/22/2016 WADDELL & REED (CRD#:866) EDMOND, OK
IA
 10/01/2012 - 10/15/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) OKLAHOMA CITY, OK
IA
 06/16/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EDMOND, OK
IA
 07/16/2009 - 06/15/2010 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) EDMOND, OK
IA
 03/13/2008 - 01/06/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) TULSA, OK
IA
 12/14/2007 - 03/12/2008 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) EDMOND, OK
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.