Ariane De Vienne
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.
Ariane De Vienne, who also goes by Ariane Von Kleist, was a registered financial professional .
Ariane is a previously registered financial professional and started their career in finance in 2000. Ariane had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2015 - April 27, 2016
CORNERSTONE CAPITAL INC.
April 2, 2012 - February 19, 2014
HIGHMOUNT CAPITAL
June 29, 2009 - April 14, 2010
GUGGENHEIM INVESTMENT ADVISORS, LLC
May 21, 2009 - April 14, 2010
GUGGENHEIM INVESTOR SERVICES, LLC
January 26, 2006 - November 5, 2007
DAVID J. GREENE AND COMPANY, LLC
April 26, 2000 - October 28, 2005
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CORNERSTONE CAPITAL INC.
CRD#: 169232 / SEC#: 801-80216
Contact information
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.
