Articles Tagged with Barry Stocker

Barry StockerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Barry Stocker has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stocker (CRD# 4876725).

Barry Stocker has spent 13 years in the securities industry and has been registered with Stifel Nicolaus & Company in Bethlehem Township, Pennsylvania since 2012. Previous registrations include Morgan Stanley in Easton, Pennsylvania (2009-2012) and Citigroup Global Markets in Allentown, Pennsylvania (2005-2009). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 12, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 28, 2004; Series 7 (General Securities Representative Examination), which he obtained on December 17, 2004; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 9, 2014; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 20, 2013. He is a registered broker and investment adviser with eight US states: California, Florida, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, and Virginia. He is registered wth six self-regulatory organizations (SROs): CBOE BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint.