Marna C. Whittington
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.
Marna Cupp Whittington, who also goes by Marna Whittington, was a registered financial professional .
Marna is a previously registered financial professional and started their career in finance in 1995. Marna had worked at 5 firms and has passed the Series 65, Series 63, Series 6, Series 3 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
July 21, 2010 - February 14, 2012
ALLIANZ GLOBAL INVESTORS U.S. LLC
April 1, 2010 - February 13, 2012
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 6, 2005 - January 3, 2011
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
July 30, 2001 - April 19, 2010
NICHOLAS-APPLEGATE SECURITIES LLC
September 25, 1995 - February 9, 2001
MORGAN STANLEY DISTRIBUTION, 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
ALLIANZ GLOBAL INVESTORS U.S. LLC
CRD#: 149003 / SEC#: 801-69803
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 4,976,389,140 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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