Kimberly E. Hug-mariano
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.
Kimberly Elizabeth Hug-mariano, who also goes by Kimberly Elizabeth Hug, Kim Mariano, Kimberly Mariano, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1993. Kimberly had worked at 5 firms and has passed the Series 63, SIE, 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
April 8, 2014 - October 14, 2014
THE LEADERS GROUP, INC.
March 11, 2011 - December 31, 2011
THE LEADERS GROUP, INC.
June 26, 2007 - April 16, 2009
SIGNATOR FINANCIAL SERVICES, INC.
January 1, 2005 - May 1, 2007
HSBC SECURITIES (USA) INC.
June 27, 1994 - January 1, 2005
HSBC BROKERAGE (USA) INC.
April 6, 1993 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
