Kara N. Hackenburg
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.
Kara Nicole Hackenburg was a registered financial professional .
Kara is a previously registered financial professional and started their career in finance in 1996. Kara had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 8, Series 4 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
May 13, 2004 - March 3, 2008
SVB ALLIANT
October 17, 2002 - August 29, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
March 13, 2000 - October 8, 2002
WELLS FARGO SECURITIES, LLC
January 13, 1998 - June 4, 1999
CITIGROUP GLOBAL MARKETS INC.
March 7, 1996 - December 18, 1997
E*TRADE SECURITIES LLC
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
Series 55
Date: 4/30/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 5/1/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB ALLIANT
CRD#: 121455 / SEC#: , 8-65414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SVB FINANCIAL GROUP | OWNER | |
| BECKER, GREGORY WAYNE | DIRECTOR | 4511265 |
| DENT, MARY JEAN | DIRECTOR | 5391964 |
| MAHON, WILLIAM BRIAN | CHIEF COMPLIANCE OFFICER, AML OFFICER | 2992662 |
| SHEA, CECILIA MARIE | CHIEF FINANCIAL OFFICER, FINOP | 2765763 |
| WAGNER, TOM ROBERT | CHIEF EXECUTIVE OFFICER | 2747274 |
| WILCOX, KENNETH PARMALEE | DIRECTOR | 4487249 |
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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