Kristen M. Maldonado
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 Marie Maldonado, who also goes by Kristen Marie Swartz, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1998. Kristen had worked at 9 firms and has passed the Series 66, Series 63, Series 7 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
January 10, 2012 - February 27, 2012
STONE FORGE FINANCIAL, LLC
February 13, 2009 - November 13, 2014
NATIONAL PENN CAPITAL ADVISORS
October 21, 2008 - December 12, 2008
NRP ADVISORS, INC.
October 17, 2008 - April 28, 2010
NRP FINANCIAL, INC.
January 7, 2004 - September 30, 2008
LINCOLN INVESTMENT
January 7, 2004 - September 30, 2008
LINCOLN INVESTMENT
December 3, 2001 - April 18, 2002
WELLS FARGO INVESTMENTS, LLC
April 30, 2001 - September 20, 2001
EQUITABLE ADVISORS, LLC
July 3, 2000 - September 8, 2000
PURISIMA SECURITIES, LLC
September 15, 1998 - October 30, 1998
FIRST FUND DISTRIBUTORS, INC.
February 23, 1998 - April 6, 1998
LINCOLN INVESTMENT
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONE FORGE FINANCIAL, LLC
CRD#: 159246 / SEC#:
Contact information
Red Flags
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