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Kristy Ann Green
KRISTY ANN GREEN, Kristy Green
CRD#: 4020954
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
SUITE 800
PASADENA, CA 91101
0
Disclosures
19
Years of Experience
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State Registrations
B
California 12/3/2019
IA
California 12/3/2019
SRO Registrations
B
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IA
Registered with this firm since 12/3/2019
B
Registered with this firm since 12/3/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2009 - 01/02/2018 | El Segundo, CA | |
B | 02/04/2009 - 01/02/2018 | El Segundo, CA | |
IA | 04/03/2006 - 05/16/2007 | PHOENIX, AZ | |
B | 04/03/2006 - 05/16/2007 | PHOENIX, AZ | |
IA | 09/09/2003 - 11/03/2004 | CARY, NC | |
B | 11/02/2000 - 11/03/2004 | OMAHA, NE | |
B | 01/12/2000 - 06/06/2000 | EDISON, NJ |
El Segundo, CA
01/27/2009 - 01/02/2018
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.