Kaylyn J. Krahn
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.
Kaylyn Jean Krahn, who also goes by Kaylyn Jean Christensen, Kaylyn Gillan, Kaylyn Jean Krahn-underwood, Kaylen Jean Krahngillan, Kaylyn Jean Krahngillan, Kaylen Semorile, Kaylyn Jean Semorile, Kaylyn Jean Christensen Semorile, Kaylyn Jean Underwood, was a registered financial professional .
Kaylyn is a previously registered financial professional and started their career in finance in 1985. Kaylyn had worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - April 10, 2025
LPL FINANCIAL LLC
June 3, 2015 - April 10, 2025
LPL FINANCIAL LLC
March 28, 2001 - June 8, 2015
ROBERT W. BAIRD & CO. INCORPORATED
October 19, 2000 - June 8, 2015
ROBERT W. BAIRD & CO. INCORPORATED
August 14, 2000 - October 2, 2000
UBS FINANCIAL SERVICES INC.
July 23, 1999 - August 14, 2000
J.C. BRADFORD & CO.
July 16, 1999 - July 30, 1999
ASSET PLANNING SOLUTIONS, INC.
September 4, 1997 - April 19, 1999
FIRST ALLIED SECURITIES, INC.
February 6, 1996 - September 4, 1997
PIM FINANCIAL SERVICES, INC.
October 19, 1995 - January 11, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 31, 1994 - September 25, 1995
ROUND HILL SECURITIES, INC.
September 23, 1991 - November 9, 1994
UBS FINANCIAL SERVICES INC.
August 28, 1990 - April 14, 1999
MORGAN STANLEY DW INC.
January 18, 1988 - May 13, 1989
LEHMAN BROTHERS INC.
May 1, 1985 - October 20, 1986
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
