Curt E. Ives
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.
Curt Ernest Ives, who also goes by Curt E IVes, was a registered financial professional .
Curt is a previously registered financial professional and started their career in finance in 1987. Curt had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2018 - December 15, 2020
SYMETRA SECURITIES, INC.
September 29, 2015 - February 10, 2017
PAYCHEX SECURITIES CORPORATION
May 23, 2013 - September 8, 2015
U.S. BANCORP INVESTMENTS, INC.
May 23, 2013 - September 8, 2015
U.S. BANCORP INVESTMENTS, INC.
February 15, 2013 - May 24, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
November 9, 2012 - March 7, 2013
REGAL INVESTMENT ADVISORS LLC
October 11, 2011 - November 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2011 - November 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2009 - October 13, 2011
AST INVESTMENT SERVICES, INC.
July 31, 2009 - October 13, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 2, 2009 - July 24, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - July 24, 2009
CHASE INVESTMENT SERVICES CORP.
February 11, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
February 10, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
April 10, 2003 - December 4, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 2, 2002 - April 10, 2003
IFMG SECURITIES, INC.
March 3, 2000 - January 14, 2002
BOFA DISTRIBUTORS, INC.
March 25, 1999 - March 8, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1998 - April 13, 1999
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 24, 1997 - April 8, 1999
NATIONAL PLANNING CORPORATION
July 1, 1994 - October 16, 1996
KEYPORT FINANCIAL SERVICES CORP.
August 1, 1991 - May 12, 1994
IFMG SECURITIES, INC.
August 14, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
July 7, 1987 - June 26, 1989
FIDELITY BROKERAGE SERVICES 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
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
