Kristen S. Lieber
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.
Kristen Stenberg Lieber, who also goes by Kristen E Lieber, Kristen Elaine Lieber, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1997. Kristen had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - February 26, 2014
WESTMINSTER FINANCIAL SECURITIES, INC.
October 27, 2009 - August 17, 2010
NEW ENGLAND SECURITIES
January 1, 2005 - July 21, 2009
BANCNORTH INVESTMENT GROUP, INC.
September 6, 2002 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
June 30, 1997 - August 1, 2001
SIGNATOR INVESTORS, INC.
January 28, 1997 - June 30, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS 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
Current Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| 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.
