Hallie J. Kistler
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.
Hallie Jane Kistler, who also goes by Hallie Jane Degroot Miss, Hallie Jane Degroot, Hallie J Kistler, Hallie Jane Kistler Mrs, Hallie Jane Kistler Mrs., was a registered financial professional .
Hallie is a previously registered financial professional and started their career in finance in 1987. Hallie had worked at 9 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
January 23, 2012 - December 1, 2015
CENTAURUS FINANCIAL, INC.
May 18, 2009 - January 5, 2012
PACIFIC WEST SECURITIES, INC.
May 2, 2007 - May 24, 2007
WADDELL & REED
August 25, 2004 - May 24, 2005
BRECEK & YOUNG ADVISORS, INC.
May 14, 1999 - September 10, 2002
KEYBANC CAPITAL MARKETS INC.
February 22, 1993 - May 14, 1999
KEY INVESTMENTS INC.
April 19, 1990 - February 26, 1993
PUGET SOUND SECURITIES, INC.
October 30, 1989 - July 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1988 - July 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1987 - July 19, 1988
SEIDNER SECURITIES
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
