Wilma U. Kiernan
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.
Wilma Uribe Kiernan, who also goes by Wilma Esther Uribe, Wilma Esther Uribe Angeles, was a registered financial professional .
Wilma is a previously registered financial professional and started their career in finance in 2008. Wilma had worked at 16 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2011 - November 20, 2013
CLEAN ENERGY CAPITAL SECURITIES LLC
June 14, 2011 - October 5, 2011
VERTICAL CAPITAL SECURITIES, LLC
November 23, 2010 - December 13, 2013
CREATIVEONE SECURITIES, LLC
July 21, 2010 - August 1, 2011
LARSON FINANCIAL SECURITIES, LLC
February 11, 2010 - October 14, 2010
MAM SECURITIES, LLC
January 14, 2010 - July 1, 2011
VFG SECURITIES, INC.
November 2, 2009 - February 7, 2014
VENTOUX SECURITIES, LLC
August 10, 2009 - February 25, 2010
TOLARUS CAPITAL ADVISORS, LLC
May 8, 2009 - December 2, 2013
FRANK CRYSTAL CAPITAL, INC.
May 7, 2009 - October 26, 2010
AMPER INVESTMENT BANKING L.L.C.
January 27, 2009 - December 20, 2010
PACIFIC PEARL GROUP
October 7, 2008 - July 20, 2009
TERCES CAPITAL, INC.
October 7, 2008 - November 30, 2011
HUNTER WISE SECURITIES, LLC
October 6, 2008 - October 4, 2013
RP CAPITAL LLC
September 26, 2008 - October 1, 2012
MERIDIAN UNITED CAPITAL, LLC
August 25, 2008 - February 3, 2009
BRANDIS TALLMAN LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 8/21/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CLEAN ENERGY CAPITAL SECURITIES LLC
CRD#: 153321 / SEC#: , 8-68524
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.
