Candice E. Hall
Professional summary
Candice Elicia Hall was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Candice is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Candice had worked at 1 firm, which includes MUTUAL OF AMERICA LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2006 - April 25, 2007
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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