Juliet A. Kiwanuka
Professional summary
Juliet Ann Kiwanuka was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Juliet Ann Kiwanuka was a registered financial advisor .
Juliet is a previously registered financial advisor and started their career in finance in 1996. Juliet had worked at 8 firms and has passed the Series 66, Series 65, Series 63 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
March 5, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 4, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 2007 - January 30, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 26, 2006 - January 30, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 7, 2003 - October 11, 2006
IFMG SECURITIES, INC.
July 18, 2001 - December 31, 2001
PFS INVESTMENTS INC.
January 19, 1999 - October 22, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1997 - September 30, 1998
FIRST UNION BROKERAGE SERVICES, INC.
April 4, 1997 - August 7, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1996 - January 17, 1997
AMERICAN INVESTMENT SERVICES, 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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