Kristi Marvin
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.
Kristi Marvin, who also goes by Kristi Ann Marvin, was a registered financial professional .
Kristi is a previously registered financial professional and started their career in finance in 2005. Kristi had worked at 4 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
March 1, 2019 - April 9, 2019
BTIG, LLC
December 13, 2017 - May 9, 2018
ROSE & CO. CAPITAL ADVISORS, LLC
October 3, 2011 - June 17, 2016
MAXIM GROUP LLC
June 20, 2011 - August 12, 2011
RODMAN & RENSHAW, LLC
August 23, 2005 - May 9, 2011
MAXIM 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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
