Sharon M. Daggett
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.
Sharon Marie Daggett was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1982. Sharon had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 52, Series 62, Series 22 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
December 18, 1996 - April 16, 2018
KMS FINANCIAL SERVICES, INC.
September 6, 1996 - April 16, 2018
KMS FINANCIAL SERVICES, INC.
April 3, 1989 - September 13, 1996
CETERA WEALTH SERVICES, LLC
September 23, 1988 - April 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 6, 1982 - July 6, 1988
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 12/23/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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