Carl D. Killian
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.
Carl Dan Killian JR, who also goes by Dan Killian, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1987. Carl had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1992 - February 11, 1999
HERZOG, HEINE, GEDULD, LLC
October 11, 1991 - January 29, 1992
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
February 2, 1987 - May 29, 1990
JSC SECURITIES, 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
Current Firm
HERZOG, HEINE, GEDULD, LLC
CRD#: 2186 / SEC#: , 8-10463
Contact information
Documents
Disclosures
| Regulatory Event | 51 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
