Kristina Lengyel
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.
Kristina Lengyel, who also goes by Kristina Marie Lengyel, was a registered financial professional .
Kristina is a previously registered financial professional and started their career in finance in 2000. Kristina had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
October 25, 2011 - March 9, 2015
HOULIHAN LOKEY CAPITAL, INC.
January 10, 2011 - January 21, 2011
EQUITY SERVICES, INC.
December 23, 2010 - January 21, 2011
EQUITY SERVICES, INC.
October 7, 2009 - November 8, 2010
OSAIC FS, INC.
October 7, 2009 - November 8, 2010
OSAIC FS, INC.
September 1, 2006 - February 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2006 - February 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2006 - August 15, 2006
CITIGROUP GLOBAL MARKETS INC.
January 20, 2006 - August 15, 2006
CITIGROUP GLOBAL MARKETS INC.
May 19, 2003 - January 24, 2006
WELLS FARGO INVESTMENTS, LLC
March 7, 2003 - January 24, 2006
WELLS FARGO INVESTMENTS, LLC
January 28, 2000 - March 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
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.
