Coraline M. Hampson-wiest
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Coraline Marie Hampson-wiest, who also goes by Coraline Marie Hampsonwiest, Corrie Hampsonwiest, Coraline Miller, Coraline M Wiest, Coraline Marie Wiest, was a registered financial professional .
Coraline is a previously registered financial professional and started their career in finance in 1981. Coraline had worked at 5 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - April 24, 2019
NATIONAL SECURITIES CORPORATION
May 21, 2003 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
February 1, 2000 - January 23, 2002
PINEBRIDGE SECURITIES LLC
April 10, 1990 - December 31, 1990
WHARTON EQUITY CORPORATION
October 21, 1981 - December 11, 1998
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
