Robyn E. Happoldt
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.
Robyn Evan Happoldt was a registered financial professional .
Robyn is a previously registered financial professional and started their career in finance in 2012. Robyn had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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
September 17, 2012 - November 10, 2020
CREDIT UNION INVESTMENT SERVICES
April 10, 2012 - November 10, 2020
SECU BROKERAGE SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 6TO
Date: 12/9/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CREDIT UNION INVESTMENT SERVICES
CRD#: 144871 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 110,960 |
Red Flags
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