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STACY M NELSON
STACE ROA, STACY M ROA, STACY M. ROA, STACY MARIA ROA, STACY ROA
CRD#: 5497211
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2301 SE MONTEREY RD
STUART, FL 34996
STUART, FL 34996
0
Disclosures
13
Years of Experience
View By:
State Registrations
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California 3/1/2023
B
Missouri 3/1/2023
B
Colorado 3/1/2023
B
Nevada 3/1/2023
B
Connecticut 3/1/2023
B
New Jersey 3/1/2023
B
Delaware 3/1/2023
B
New York 3/1/2023
B
Florida 2/28/2023
B
North Carolina 3/1/2023
IA
Florida 3/1/2023
B
Pennsylvania 3/1/2023
B
Georgia 3/1/2023
B
Rhode Island 8/31/2023
B
Illinois 3/1/2023
B
South Carolina 3/1/2023
B
Indiana 3/1/2023
B
South Dakota 3/1/2023
B
Iowa 3/1/2023
B
Texas 3/1/2023
B
Louisiana 3/1/2023
IA
Texas 3/1/2023
B
Maryland 3/1/2023
B
Vermont 3/1/2023
B
Massachusetts 3/1/2023
B
Washington 9/30/2024
SRO Registrations
B
B
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IA
Registered with this firm since 3/1/2023
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Registered with this firm since 2/28/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/04/2023 - 03/09/2023 | PALM BEACH GARDENS, FL | |
B | 01/04/2023 - 03/09/2023 | PALM BEACH GARDENS, FL | |
IA | 04/14/2016 - 01/03/2023 | JUPITER, FL | |
B | 05/17/2011 - 01/03/2023 | JUPITER, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.