Kristine D. Sonnenberg
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.
Kristine Diane Sonnenberg was a registered financial professional .
Kristine is a previously registered financial professional and started their career in finance in 2000. Kristine had worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2014 - February 10, 2016
HAYWOOD SECURITIES (USA) INC.
April 1, 2008 - May 28, 2014
RESEARCH CAPITAL USA INC.
May 12, 2003 - March 20, 2008
DESJARDINS SECURITIES INTERNATIONAL INC.
October 12, 2000 - February 13, 2003
BLV SECURITIES
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
Series 37
Date: 10/11/2000
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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