Angela K. Kroll
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.
Angela Kay Kroll, who also goes by Angela Kay Bartels, Angela Bartels, Angela Kay Eilers, Angela Kay Kabes, Angela Kabes, Angela Kay Tritz, Angela Tritz, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1984. Angela had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 4 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
May 18, 2009 - April 15, 2024
VAN CLEMENS & CO. INCORPORATED
November 24, 2008 - May 15, 2009
RECOM SECURITIES, INC.
October 20, 2008 - November 24, 2008
SCOTTRADE, INC.
April 4, 2002 - October 17, 2008
RECOM SECURITIES, INC.
December 8, 1999 - March 1, 2002
STOCKWALK.COM, INC.
February 22, 1994 - January 31, 2000
STARFN
April 29, 1993 - February 23, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1986 - July 10, 1992
STARFN
December 19, 1984 - November 6, 1986
CETERA INVESTMENT SERVICES LLC
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 ExaminationSeries 55
Date: 4/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
