Veronica Wickland
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.
Veronica Wickland, who also goes by Ronnie Huber, Veronica Wickland Huber, Veronica Huber, R James, Veronia Huber James, Veronica Huber James, was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 1982. Veronica had worked at 8 firms and has passed the Series 63, SIE and Series 7 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 - November 18, 2016
NATIONAL SECURITIES CORPORATION
June 21, 1999 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
December 10, 1996 - July 1, 1999
CITICORP INVESTMENT SERVICES
March 13, 1995 - February 3, 1997
FIDELITY BROKERAGE SERVICES LLC
March 1, 1994 - January 23, 1995
FLEET ENTERPRISES, INC.
November 3, 1992 - January 17, 1994
FIDELITY BROKERAGE SERVICES LLC
January 4, 1990 - October 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1988 - January 11, 1990
INVEST FINANCIAL CORPORATION
June 17, 1988 - August 30, 1988
INVEST FINANCIAL CORPORATION
November 22, 1985 - January 11, 1990
INVEST FINANCIAL CORPORATION
February 15, 1985 - October 15, 1985
THOMSON MCKINNON SECURITIES INC.
September 23, 1982 - February 25, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
