Kristin A. Haugk
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.
Kristin Amber Haugk, who also goes by Krissi Haugk, Kristin Haugk, was a registered financial professional .
Kristin is a previously registered financial professional and started their career in finance in 2003. Kristin had worked at 5 firms and has passed the Series 63, Series 55 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
December 7, 2010 - June 11, 2012
JOHN CARRIS INVESTMENTS LLC
July 19, 2010 - November 17, 2010
WILMINGTON CAPITAL SECURITIES, LLC
February 1, 2010 - July 20, 2010
EAST SHORE PARTNERS, INC.
June 30, 2009 - January 6, 2010
WILMINGTON CAPITAL SECURITIES, LLC
August 29, 2007 - May 26, 2009
LADENBURG THALMANN & CO. INC.
March 19, 2003 - October 6, 2005
AVALON RESEARCH GROUP, INC.
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 55
Date: 10/29/2007
Limited Representative-Equity Trader ExamCurrent Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
