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Stacy Long Permitted to Resign from Commonwealth Financial Network

Stacy Long (CRD #: 2705881) was permitted to resign from Commonwealth Financial Network. This is according to her BrokerCheck record, accessed on October 9, 2023. Keep reading if you want to know more about the firm allegations. 

On August 7, 2023, Commonwealth Financial Network permitted Stacy Long to resign following allegations that she impersonated two clients on telephone calls to a third-party vendor.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Impersonating clients violates this rule. 

Background Information 

Stacy Long has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 52 Municipal Securities Representative Examination 

She is a registered broker and investment adviser in Virginia and is a registered broker in Tennessee. 

Stacy Long has registered with the following firms: 

  • LaSalle St. Securities (CRD #: 7191) 
  • LaSalle St. Investment Advisors (CRD #: 109701) 
  • Commonwealth Financial Network (CRD #: 8032) 
  • Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691) 
  • Olde Discount Corporation (CRD #: 5979) 

Kurta Law Can Help

If you worked with Stacy Long and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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