Colleen M. Fults
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.
Colleen Marie Fults, who also goes by Colleen Marie Mcdaniel, Colleen Marie Ritter, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1987. Colleen had worked at 12 firms and has passed the Series 66, Series 63, Series 82TO, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2022 - December 31, 2023
PROVENANCE CAPITAL SERVICES LLC
July 15, 2016 - March 31, 2017
FORIS CAPITAL US LLC
February 25, 2016 - April 25, 2017
DIVINE CAPITAL MARKETS LLC
September 23, 2014 - December 31, 2015
FINTRUST BROKERAGE SERVICES, LLC
September 2, 2014 - June 17, 2021
REAGAN SECURITIES, INC.
April 24, 2014 - December 31, 2017
FOUNDERS FINANCIAL SECURITIES LLC
April 14, 2014 - December 31, 2017
FOUNDERS FINANCIAL SECURITIES LLC
January 8, 2004 - May 20, 2013
UBS FINANCIAL SERVICES INC.
August 14, 2000 - May 20, 2013
UBS FINANCIAL SERVICES INC.
December 9, 1997 - August 14, 2000
J.C. BRADFORD & CO.
January 28, 1995 - July 25, 1997
UBS FINANCIAL SERVICES INC.
October 13, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 30, 1993 - September 15, 1994
WACHOVIA SECURITIES, INC.
May 21, 1990 - August 19, 1993
BARNETT INVESTMENTS, INC.
February 26, 1987 - March 21, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PROVENANCE CAPITAL SERVICES LLC
CRD#: 315446 / SEC#: , 8-70780
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
