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KIMBERLY VICTORIA RIAN HAUPIN
CRD#: 5002236
IA
Investment Adviser
B
Broker
BNY MELLON SECURITIES CORPORATIONCRD#: 231 600 COLONIAL CENTER PARKWAY
4TH FLOOR
LAKE MARY, FL 32746
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)3 FIRMS2024 - Present (1 year)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2011 - 2024 (12 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2017 - 2024 (6 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - 2017 (2 years)
License(s)

State Registrations

B
Florida 2/16/2024

B
New Jersey 7/25/2024

IA
Florida 2/19/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe C2 Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BNY MELLON SECURITIES CORPORATION (CRD#:231)
600 COLONIAL CENTER PARKWAY 4TH FLOOR, LAKE MARY, FL 32746
SANFORD, FL
Registered with this firm since 2/19/2024

B
BNY MELLON SECURITIES CORPORATION (CRD#:231)
600 COLONIAL CENTER PARKWAY 4TH FLOOR, LAKE MARY, FL 32746
SANFORD, FL
Registered with this firm since 2/16/2024

B
PERSHING LLC (CRD#:7560)
600 Colonial Center Parkway, Lake Mary, FL 32746
Registered with this firm since 7/25/2024

Previous Registration(s)
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IA
08/23/2017 - 02/09/2024 NORTHERN TRUST SECURITIES, INC (CRD#:7927) CHICAGO, IL
B
11/04/2011 - 02/09/2024 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) CHICAGO, IL
IA
04/07/2015 - 06/28/2017 NORTHERN TRUST SECURITIES, INC (CRD#:7927) CHICAGO, IL
IA
06/12/2006 - 10/21/2011 ADVANCED EQUITIES, INC. (CRD#:35545) CHICAGO, IL
B
03/21/2006 - 10/21/2011 ADVANCED EQUITIES, INC. (CRD#:35545)
FINRA expelled the firm on 08/18/2014
CHICAGO, IL
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B
Broker
IA
Investment Adviser
Disclosures
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.