Karlien A. Zumpolle
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.
Karlien Anne Zumpolle, who also goes by Karlien Anne Zumpolle Ms, Karlien Zumpolle, was a registered financial professional .
Karlien is a previously registered financial professional and started their career in finance in 2015. Karlien had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2019 - August 20, 2020
ABN AMRO SECURITIES (USA) LLC
June 5, 2015 - May 2, 2017
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
ABN AMRO SECURITIES (USA) LLC
CRD#: 151796 / SEC#: , 8-68398
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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