Jeremy D. Alk
Professional summary
Jeremy David Alk was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeremy is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Jeremy had worked at 5 firms, which includes KMS FINANCIAL SERVICES INC., FIRST COLONIAL SECURITIES, PUGET SOUND SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PACIFIC GROWTH SECURITIESINC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 1993 - December 1, 1997
KMS FINANCIAL SERVICES, INC.
February 1, 1993 - September 1, 1993
FIRST COLONIAL SECURITIES
November 6, 1991 - January 19, 1993
PUGET SOUND SECURITIES, INC.
June 5, 1986 - November 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 1985 - June 10, 1986
PACIFIC GROWTH SECURITIES,INC.
State Registrations and Notice Filings
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Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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