KL

Kristen S. Lieber

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CRD#: 2803187
KL

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


Are you a "fiduciary"?
No

Aliases


Kristen E Lieber | Kristen Elaine Lieber

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

August 24, 2010 - February 26, 2014

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
PORTSMOUTH, NH
Past

October 27, 2009 - August 17, 2010

NEW ENGLAND SECURITIES

BD
CRD#: 615
PORTSMOUTH, NH
Past

January 1, 2005 - July 21, 2009

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PORTSMOUTH, NH
Past

September 6, 2002 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

June 30, 1997 - August 1, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

January 28, 1997 - June 30, 1997

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
General Industry/Product Exam

Current Firm


WF
WESTMINSTER FINANCIAL SECURITIES, INC.
BRAZIE & COMPANY, INC. | WESTMINSTER FINANCIAL SECURITIES, INC. | BRAZIE FINANCIAL SERVICES, INC. | BRAZIE FINANCIAL SECURITIES, INC.

CRD#: 20677 / SEC#: , 8-38426

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information


Main Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Mailing Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Phone number
(937) 898-5010
Established
Ohio since 07/23/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Direct owners and executive officers


NamePositionCRD#
WESTMINSTER FINANCIAL COMPANIES, INC.HOLDING COMPANY
STAGER, KIRK WILSONCEO2785614
STAGER, KIRK WILSONPRESIDENT2785614
SWEENEY, ANGELA C.FINOP,CFO4036900
TRUNCK, JESSICA MARIECHIEF COMPLIANCE OFFICER4561886

Disclosures


Regulatory Event3
Arbitration1

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.

Company Information


WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

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