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KH

Krista A. Hilbie

DOWLING & PARTNERS SECURITIES LLC
Farmington, CT 06032
Some features on this profile are disabled
CRD#: 1712680
KH

Professional summary

Krista Ann Hilbie, who also goes by Krista Ann Rogers, is a registered financial professional currently at DOWLING & PARTNERS SECURITIES LLC located in Farmington, Connecticut.

Krista is registered as a RR (Registered Representative) and started their career in finance in 1987. Krista has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Krista Ann Rogers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Krista Ann Hilbie's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 11, 2008 - Present

DOWLING & PARTNERS SECURITIES LLC

Office #1: 190 Farmington Avenue, Farmington, CT 06032
BD
CRD#: 24746
Farmington, CT
Past

February 14, 1990 - May 14, 2008

OSAIC WEALTH, INC.

BD
CRD#: 23131
FARMINGTON, CT
Past

July 31, 1987 - May 31, 1988

CAMBRIDGE-NEWPORT COMPANY, INC.

BD
CRD#: 18887

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/4/2021)
RR
Connecticut
(6/11/2008)
RR
Florida
(1/26/2011)
RR
Illinois
(10/4/2021)
RR
Massachusetts
(12/10/2010)
RR
New Hampshire
(10/4/2021)
RR
New York
(10/4/2021)
RR
Ohio
(10/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/25/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

D&
DOWLING & PARTNERS SECURITIES LLC
DOWLING & PARTNERS SECURITIES LLC | PAULSEN, DOWLING SECURITIES, INC. | PAULSEN, DOWLING SECURITIES LLC | PAULSEN SECURITIES, INC. | DOWLING HALES, LLC

CRD#: 24746 / SEC#: , 8-35658

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Farmington Avenue, Farmington, CT 06032
Mailing Address
190 Farmington Avenue, Farmington, CT 06032
Phone number
(860) 676-8600
Established
Connecticut since 07/01/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOWLING CORPORATION100% OWNER
BYRNE, THOMAS ARTHURPRESIDENT/CEO/EXECUTIVE REPRESENTATIVE1334509
DOWLING, VERONICA ALVAREZCHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER5166888
HANLEY, JOSEPH PATRICK JRHEAD TRADER3060247
HILBIE, KRISTA ANNCHIEF COMPLIANCE OFFICER1712680
LENT, BRENNA SULLIVANMEMBER2399560
NIXON, JON ALANFINOP4710715

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.

Company Information

DOWLING & PARTNERS SECURITIES LLC

CRD#: 24746Farmington, CT 06032

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