Larry E. Hyser
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.
Larry Eugene Hyser was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2003 - January 22, 2020
CUNA BROKERAGE SERVICES, INC.
November 14, 2003 - January 22, 2020
CUNA BROKERAGE SERVICES, INC.
February 5, 2002 - October 29, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2000 - February 5, 2002
ONB INVESTMENT SERVICES, INC.
March 12, 1999 - December 5, 2000
PFIC SECURITIES CORPORATION
August 5, 1997 - January 14, 1999
WINGSPAN INVESTMENT SERVICES
December 24, 1992 - July 14, 1997
NATCITY INSURANCE SERVICES, INC.
July 20, 1990 - February 6, 1991
USF&G INVESTMENT SERVICES, INC.
February 10, 1988 - July 6, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
February 3, 1988 - July 25, 1990
F & G SECURITIES, INC.
April 24, 1986 - December 31, 1987
INVEST FINANCIAL CORPORATION
January 11, 1983 - June 6, 1986
PRUCO SECURITIES, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
