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STEPHANIE ROSE LALLY
STEPHANIE ROSE ARNOLD, STEPHANIE LALLY
CRD#: 6473258
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 3800 Citibank Center
Tampa, FL 33610
Tampa, FL 33610
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Disclosures
9
Years of Experience
View By:
State Registrations
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Florida 1/3/2023
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New York 12/19/2024
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Florida 10/18/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/18/2024
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Registered with this firm since 1/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/03/2020 - 12/01/2022 | ORLANDO, FL | |
B | 06/01/2020 - 12/01/2022 | ORLANDO, FL | |
IA | 04/24/2019 - 03/27/2020 | TAMPA, FL | |
B | 04/05/2019 - 03/27/2020 | TAMPA, FL | |
IA | 10/31/2018 - 04/08/2019 | ST. PETERSBURG, FL | |
B | 05/13/2015 - 04/08/2019 | ST. PETERSBURG, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.