Merry E. Abeel
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.
Merry Ella Abeel, CFP®, who also goes by Merry E Abeel, was a registered financial professional .
Merry is a previously registered financial professional and started their career in finance in 1985. Merry had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2009 - June 10, 2015
KMS FINANCIAL SERVICES, INC.
January 16, 2009 - June 10, 2015
KMS FINANCIAL SERVICES, INC.
March 13, 2007 - July 12, 2010
SMART PORTFOLIOS, LLC
January 1, 2007 - March 12, 2007
STANCORP INVESTMENT ADVISERS, INC.
January 1, 2007 - March 12, 2007
STANCORP EQUITIES, INC.
February 7, 2006 - January 1, 2007
INVESMART SECURITIES, LLC
January 24, 2006 - January 1, 2007
INVESMART ADVISORS INC
August 5, 2005 - December 31, 2005
ABEEL WEALTH MANAGEMENT LLC
July 20, 2000 - January 10, 2005
SYMETRA SECURITIES, INC.
December 17, 1998 - May 12, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
August 20, 1997 - December 3, 1998
NATIONAL PLANNING CORPORATION
November 1, 1991 - August 7, 1995
ESSEX NATIONAL SECURITIES, LLC
June 16, 1989 - February 6, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
November 1, 1988 - November 1, 1989
ADMINISTRATIVE SYSTEMS, INC.
May 6, 1985 - August 1, 1988
MONY SECURITIES CORPORATION
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
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
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.
