Kristy Halderman
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.
Kristy Halderman, who also goes by Kristy Nicole Halderman, was a registered financial professional .
Kristy is a previously registered financial professional and started their career in finance in 2011. Kristy had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2018 - February 6, 2019
STARWOOD CAPITAL, L.L.C.
January 13, 2016 - December 27, 2016
PROFUNDS DISTRIBUTORS, INC.
April 22, 2014 - July 6, 2015
CAPITAL BROKERAGE CORPORATION
February 25, 2014 - March 7, 2014
THE HUNTINGTON INVESTMENT COMPANY
March 21, 2012 - December 16, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 10, 2011 - March 8, 2012
PRUCO SECURITIES, 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
STARWOOD CAPITAL, L.L.C.
CRD#: 146057 / SEC#: , 8-67788
Contact information
FINRA licenses (53 States and Territories)
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.
