Krisann K. Miehe
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.
Krisann Kaye Miehe, who also goes by Krisann K Hatlen, Krisann Kaye Hatlen, Krisann K Shaw, Krisann K Shawhatlen, Krisann Kaye Shawhatlen, was a registered financial professional .
Krisann is a previously registered financial professional and started their career in finance in 1992. Krisann had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2009 - November 27, 2017
SII INVESTMENTS, INC.
October 26, 2009 - November 27, 2017
SII INVESTMENTS, INC.
January 17, 2006 - November 9, 2009
AMERITAS INVESTMENT COMPANY, LLC
January 17, 2006 - November 9, 2009
AMERITAS INVESTMENT COMPANY, LLC
October 30, 1993 - January 17, 2006
CUNA BROKERAGE SERVICES, INC.
October 13, 1992 - October 29, 1993
CENTURY INVESTORS OF AMERICA, 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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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