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Detailed Report
DUSTY LYNN STERNADEL
DUSTY STERNADEL, DUSTY LYNN VEITENHEIMER
CRD#: 5872600
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Previous Investment Adviser
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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
2011201220132014201520162017201820192020202120222023IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2018 - 2022 (3 years)IAMORGAN STANLEY (CRD# 149777)2015 - 2019 (3 years)IAEDWARD JONES (CRD# 250)2011 - 2015 (4 years)
Disclosure(s)
View By:
9/28/2022
Customer Dispute
Settled
9/9/2022
Regulatory
Final
9/8/2022
Customer Dispute
Settled
7/29/2022
Employment Separation After Allegations
10/6/2016
Customer Dispute
Denied
Previous Registration(s)
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 12/14/2018 - 08/22/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Wichita Falls, TX
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 11/23/2015 - 01/10/2019 MORGAN STANLEY (CRD#:149777) WICHITA FALLS, TX
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 04/29/2011 - 11/24/2015 EDWARD JONES (CRD#:250) WICHITA FALLS, TX
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.