Mia A. Boteler
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.
Mia Annette Boteler, who also goes by Mia Annette Dierks, was a registered financial professional .
Mia is a previously registered financial professional and started their career in finance in 2001. Mia had worked at 2 firms and has passed the 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
September 16, 2009 - December 3, 2014
FREESTONE SECURITIES, LLC
May 17, 2004 - March 6, 2008
FREESTONE SECURITIES, LLC
June 13, 2001 - October 4, 2002
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
FREESTONE SECURITIES, LLC
CRD#: 124260 / SEC#: , 8-65650
Contact information
Documents
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.
