Stacey Lynn Lavender

Current Employers

Employment History

• 12/2014 → 02/2021
  Nms Capital Advisors, Llc Dba Hb Securities Llc
  Beverly Hills, CA
• 12/2014 → 05/2018
  Nms Capital Asset Management, Inc
  Beverly Hills, CA
• 01/2018 → Present
  Sllm-Inc./Ccs
  Los Angeles, CA
• 01/2018 → 03/2018
  Third Party Trade Llc
  Portland, OR
• 02/2018 → 01/2025
  Level Four Financial, Llc
  Dallas, TX
• 01/2019 → Present
  Sequence Financial Specialists Llc
  Florence, SC
• 05/2018 → 04/2020
  Ifp Securities Llc
  Tampa, FL
• 11/2019 → 01/2023
  Cherry Trading Llc
  Los Angeles, CA
• 01/2020 → 08/2022
  Greentiger Securities Llc
  San Francisco, CA
• 03/2020 → 06/2020
  Angellist Securities, Llc
  Brooklyn, NY
• 04/2020 → 09/2022
  Securrency Securities, Inc.
  New York, NY
• 05/2020 → 05/2021
  Bw Network Securities Llc
  New York, NY
• 06/2020 → 11/2021
  Peter Elish Investments Securities
  Plano, TX
• 06/2020 → 10/2022
  Palm Tree
  Los Angeles, CA
• 09/2020 → 03/2021
  Benchmark
  New York, NY
• 02/2021 → 12/2025
  Dalmore
  New York, NY
• 05/2021 → 11/2021
  My Wall Street
  Los Angeles, CA
• 05/2021 → 01/2023
  Ftx Capital
  Los Angeles, CA
• 12/2021 → 01/2025
  Level Four Advisory Services
  Dallas, TX
• 02/2025 → 06/2026
  Kingswood Capital Partners, Llc
  San Diego, CA
• 02/2025 → Present
  Exemplar Capital, Llc
  Boston, MA
• 02/2025 → 11/2025
  Bosonic Securities
  San Rafeal, CA
• 02/2025 → 02/2026
  Quoin Capital Llc
  Wayne, PA
• 02/2025 → Present
  Kingswood Wealth Advisors, Llc
  San Diego, CA
• 04/2024 → Present
  G. A. Repple & Company
  Casselberry, FL
• 05/2021 → Present
  Compliers Consulting Services
  Jurupa Valley, CA
• 01/2026 → Present
  Opencash Securities, Llc
  Haverford, PA
• 02/2026 → Present
  Kingswood Wealth Management
  Miami, FL

Previous Registrations

• 2021-12-21 → 2025-02-28
  Level Four Advisory Services
  Dallas, TX
  Jurupa Valley, CA
• 2018-06-08 → 2021-12-21
  Level Four Financial, Llc
  Riverside, CA
  Dallas, TX
  Los Angeles, CA
  Riverside, CA
  Riverside, CA
• 2021-07-28 → 2021-11-17
  Mywallst Advisory Llc
  Los Angeles, CA
• 2014-12-17 → 2018-05-24
  Nms Capital Asset Management, Inc.
  Beverly Hills, CA
• 2012-12-10 → 2014-03-05
  Level Four Financial, Llc
  Dallas, TX
  Mobile, AL
  Mobile, AL
• 2012-06-20 → 2012-08-22
  First Command Brokerage Services, Inc.
  Biloxi, MS
• 2005-10-06 → 2011-11-21
  Level Four Financial, Llc
  Dallas, TX
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Calabash, NC
• 2005-03-23 → 2005-10-04
  Ameriprise Financial Services, Llc
  Newburgh, IN

Other Businesses

***SEE EMPLOYMENT HISTORY FOR DETAIL OF FIRMS UNDER CONSULTING FIRMS*** COMPLIERS CONSULTING SERVICES aka CCS, NON-INVESTMENT RELATED, 4987 FIREBIRD CT, JURUPA VALLEY, CA 92509, COMPLIANCE CONSULTING, MANAGING PARTNER, 26% OWNERSHIP, START DATE MAY 2021, 10 HOURS PER MONTH, 0 DURING TRADING, INVESTMENTS COMPLIANCE CONSULTING SERVICES STACEY LYNN LAVENDER-MAYES INC aka SLLM INC, dba RRMP. NON-INVESTMENT RELATED, 4987 FIREBIRD CT JURUPA VALLEY CA 92509, INDEPENDENT COMPLIANCE CONSULTANT, REGULATOR AND COMPLIANCE CONSULTING, START 05/2017, 5-10 HOURS PER MONTH, 0 DURING TRADING HOURS, CONSULT ON REGULATORY & COMPLIANCE ISSUES COMPLIANCE CONSULTING SERVICES FINRA Dispute Resolution Services, Arbitrator, Start Date: 7/2016, 4987 Firebird Ct. Jurupa Valley, CA 92509, Securities Industry Arbitration / Dispute Resolution, Serve as an arbitrator on securities dispute resolution panels administered by FINRA Dispute Resolution Services. Responsibilities include reviewing case materials, participating in pre-hearing conferences and arbitration hearings, deliberating with panel members, and issuing arbitration awards in disputes involving investors, broker-dealers, and associated persons. Activity is limited to service as an independent arbitrator for FINRA dispute resolution proceedings. The activity does not involve securities sales, advisory services, or solicitation of firm clients., 0 hours at present, 0 during trading (Occasional / As Assigned (generally outside normal business hours). Not Investment Related

Exams

• S66 Uniform Combined State Law Examination
  2005-03-01

Other Names

• Stacey L Lavender
• Stacey Lynn Lavender-Mayes
• Stacey Lynn Lavender
• Stacey Lynn Mayes