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ML

Mariane A. Lee

HUB INTERNATIONAL INVESTMENT SERVICES
Kansas City, MO 64114
Some features on this profile are disabled
CRD#: 4532268
ML

Professional summary

Mariane Ashley Lee, who also goes by Mariane Ashley Liebowitz, is a registered financial professional currently at HUB INTERNATIONAL INVESTMENT SERVICES INC. located in Kansas City, Missouri.

Mariane is registered as a RR (Registered Representative) and started their career in finance in 2003. Mariane has worked at 5 firms and has passed the Series 65, Series 79TO, SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mariane Ashley Liebowitz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
[1] MARIANE LIEBOWITZ, 1166 AVENUE OF THE AMERICAS, NY, NY 10036. FINRA, ONE LIBERTY PLAZA, NEW YORK, NEW YORK, ARBITRATE CASES BROUGHT AGAINST NASD MEMBER FIRMS AND/OR REGISTERED PERSONS, FINRA ARBITRATOR, MAY 9, 2007, SPEND APPROXIMATELY 36 HOURS PER YEAR DURING SECURITIES TRADING HOURS. DUTIES: HEAR ARBITRATION CASES AND DETERMINE AWARDS. INVESTMENT RELATED. COMPENSATION: HOURLY FLAT FEE. DO NOT RAISE CAPITAL FOR THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mariane Ashley Lee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 8, 2022 - Present

HUB INTERNATIONAL INVESTMENT SERVICES INC.

Office #1: 9200 Ward Parkway, Suite 500, Kansas City, MO 64114
BD
CRD#: 150252
Kansas City, MO
Past

August 7, 2023 - October 4, 2023

HUB INTERNATIONAL INVESTMENT SERVICES INC.

RIA
CRD#: 150252
SAN RAFAEL, CA
Past

February 14, 2022 - May 27, 2022

JSL SECURITIES, INC.

BD
CRD#: 140116
OVERLAND PARK, KS
Past

July 6, 2012 - July 1, 2022

MMA SECURITIES LLC

BD
CRD#: 44254
PARAMUS, NJ
Past

September 22, 2005 - November 9, 2010

INTERLINK SECURITIES CORP.

BD
CRD#: 30505
WOODLAND HILLS, CA
Past

August 22, 2003 - July 1, 2022

MMC SECURITIES LLC

BD
CRD#: 103846
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/1/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HI
HUB INTERNATIONAL INVESTMENT SERVICES INC.
HUB INTERNATIONAL INVESTMENT SERVICES INC. | HUB INTERNATIONAL INVESTMENT SERVICES INC. (HIIS)

CRD#: 150252 / SEC#: , 8-68237

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
9200 Ward Parkway, Suite 500 Suite B60, San Rafael, CA 94903
Mailing Address
9200 Ward Parkway, Suite 500, Kansas City, MO 64114
Phone number
(914) 343-6705
Established
Delaware since 12/12/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
0

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RPW HOLDINGS, LLCSOLE OWNER
DEVRIES, KENNETH SCOTTCHIEF ACCOUNTING OFFICER6435109
HAUPTMANN, SCOTT CHRISTOPHERPRESIDENT4773447
LIEBOWITZ, MARIANE ASHLEYINTERIM CHIEF COMPLIANCE OFFICER4532268
VALLOW, RONALD EFINOP, POO, PFO4948582

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.

Company Information

HUB INTERNATIONAL INVESTMENT SERVICES INC.

CRD#: 150252Kansas City, MO 64114

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