Hudson Etienne
Professional summary
Hudson Etienne SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hudson is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Hudson had worked at 8 firms, which includes CETERA FINANCIAL SPECIALISTS LLC, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., NEW ENGLAND SECURITIES, C. J. M. PLANNING CORP., WMA SECURITIES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2007 - December 11, 2008
CETERA FINANCIAL SPECIALISTS LLC
December 21, 2005 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 21, 2005 - November 7, 2006
OSAIC FA, INC.
November 2, 2000 - October 3, 2005
NEW ENGLAND SECURITIES
July 13, 2000 - October 25, 2000
C. J. M. PLANNING CORP.
May 19, 1999 - December 7, 1999
C. J. M. PLANNING CORP.
June 6, 1994 - December 31, 1994
WMA SECURITIES, INC.
March 4, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 7, 1989 - June 3, 1993
PFS INVESTMENTS 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
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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