Our Staff has compiled our research into a database of FINRA Broker Disclosures for SA Stone Wealth Management Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Bradley S Lay | 4633746 | 3 | 08/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Michael Peavy | 4348578 | 2 | 06/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Robert McCarthy | 1102734 | 1 | 11/16/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur Joseph Kole | 2341397 | 1 | 09/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Jeffery Wiseman | 1358960 | 3 | 05/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Todd Senesac | 2593660 | 2 | 01/05/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Iris Sutton | 2101335 | 1 | 11/10/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Brett Vaughn | 2505687 | 1 | 01/28/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marc Evan Nufrio | 1902705 | 3 | 12/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Denise Sue Windham | 862459 | 1 | 09/17/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |