Kristen A. Newton
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 Ann Newton, who also goes by Kristen Ann Hinchberger, 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 63, Series 65, SIE, Series 31 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
January 17, 2018 - November 13, 2018
CUNA BROKERAGE SERVICES, INC.
December 20, 2017 - November 13, 2018
CUNA BROKERAGE SERVICES, INC.
November 8, 2013 - December 4, 2017
SYMBIOTIC WEALTH MANAGEMENT, LLC
January 19, 2012 - July 12, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2012 - July 12, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2011 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
November 29, 2006 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
March 29, 2004 - December 23, 2010
ADDISON AVENUE FINANCIAL PARTNERS, LLC
September 14, 2001 - December 1, 2006
CUSO FINANCIAL SERVICES, L.P.
August 10, 2001 - December 1, 2006
CUSO FINANCIAL SERVICES, L.P.
January 22, 1999 - August 20, 2001
INVESTORS CAPITAL CORP.
May 14, 1998 - February 16, 1999
MORGAN STANLEY DW 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
