Kelly W. Laing
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.
Kelly Walker Laing, who also goes by Jacqueline Walker Laing, Jacqueline Laing, Jacqueline Kelly Walker Laing, Kelly Walker Laing, Kelly Walker Laing, Jacqueline Kelly Walker, Jacqueline Kelly Walker-laing, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1984. Kelly had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - January 23, 2023
TD AMERITRADE, INC.
March 21, 1994 - January 23, 2023
CHARLES SCHWAB & CO., INC.
November 17, 1993 - March 3, 1994
LUMIERE SECURITIES, INC.
April 12, 1993 - November 23, 1993
FIRST COMMERCIAL INVESTMENTS, INC.
May 15, 1991 - December 31, 1991
AMERIPRISE ADVISOR SERVICES, INC.
July 13, 1986 - May 12, 1989
STEPHENS
February 23, 1984 - July 14, 1986
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 6/6/1985
Interest Rate Options ExaminationSeries 8
Date: 1/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
