Lettie H. Pivan
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.
Lettie Hada Pivan, who also goes by Lettie Hada Bergmann, Lettie Dale Hada, was a registered financial professional .
Lettie is a previously registered financial professional and started their career in finance in 1994. Lettie had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2006 - April 26, 2006
GLB TRADING, INC
January 10, 2005 - December 31, 2010
GERALD KLEIN & ASSOCIATES
January 10, 2005 - October 17, 2016
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
June 8, 1999 - September 1, 1999
PACIFIC SUMMIT SECURITIES
February 22, 1999 - January 2, 2004
ROTH CAPITAL PARTNERS, LLC
April 28, 1994 - February 22, 1999
PACIFIC SUMMIT SECURITIES
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
GLB TRADING, INC
CRD#: 125363 / SEC#: , 8-65790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECHMAN, ROBERT TRUST 08/14/06 | OWNER | |
| LECHMAN, ROBERT ALLEN | PRESIDENT, CEO, FINOP, CFO & CCO | 1045237 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
