Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tiffany? Claim Your ProfileTiffany Hargis is a financial advisor with over 20 years of experience in the financial services industry. Tiffany has a broad range of experience in the securities industry and has held various roles at firms such as UBS PaineWebber Inc., Maplewood Investment Advisors, Inc. and CIBC World Markets Corp. Tiffany is currently registered with Mizuho Securities USA LLC and CSP Securities, LP. Tiffany is licensed in all states and holds the Series 7, 9, 10, 14, 24, 28, 63, 66, 79TO, 82TO, 99TO and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
TX
05/05/2023 - Present
Mizuho Securities USA LLC (Dallas TX)
NJ
01/13/2003 - 02/26/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
TX
08/27/2002 - 10/28/2002
MAPLEWOOD INVESTMENT ADVISORS, INC. (DALLAS TX)
NY
02/01/1999 - 08/16/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
KS
01/16/1998 - 04/27/1998
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
FL
01/16/1998 - 01/21/1998
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
BC
Issued 01/31/2008
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 04/27/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/14/2014
Series 24 - General Securities Principal Examination
BC
Issued 11/05/2007
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 12/18/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/05/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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