Victoria A. Pierce
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.
Victoria Anastasia Pierce, who also goes by VIctoria A Pierce, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1998. Victoria had worked at 3 firms and has passed the 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
September 7, 2000 - July 17, 2001
NEW WORLD SECURITIES, INC.
July 20, 1999 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
December 10, 1998 - July 27, 1999
LADENBURG CAPITAL MANAGEMENT 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
NEW WORLD SECURITIES, INC.
CRD#: 14694 / SEC#: , 8-31075
Contact information
Documents
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.
