Roy H. Kalan
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.
Roy Howard Kalan, who also goes by Roy H Kalan, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 2004. Roy had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
March 9, 2010 - October 7, 2014
YOUNG AMERICA CAPITAL, LLC
May 7, 2007 - June 3, 2008
IFMG SECURITIES, INC.
August 19, 2004 - October 26, 2006
PERSHING 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
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 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.
