Stephanie J. Hwang-malone
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.
Stephanie Jyn Hwang-malone, who also goes by Stephanie Jyn Hwangmalone, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2000. Stephanie had worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - August 22, 2014
RAINIER SECURITIES, LLC
January 3, 2011 - November 23, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 21, 2000 - July 3, 2006
WELLS FARGO INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 4/3/2010
Limited Representative-Equity Trader ExamCurrent Firm
RAINIER SECURITIES, LLC
CRD#: 130893 / SEC#: , 8-66406
Contact information
Documents
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.
