Constance A. Klapisz
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.
Constance A Klapisz, who also goes by Constance Anne Klapisz Mrs., Constance Anne Klapisz, Connie Anne Klapisz-kozawick Mrs., was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1987. Constance had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 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
February 27, 2018 - February 2, 2021
TD AMERITRADE, INC.
February 26, 2018 - February 2, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - February 2, 2021
TD AMERITRADE, INC.
April 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 24, 2017 - February 26, 2018
SCOTTRADE, INC.
March 19, 2012 - April 21, 2017
FIFTH THIRD SECURITIES, INC.
March 19, 2012 - April 21, 2017
FIFTH THIRD SECURITIES, INC.
July 5, 2011 - March 23, 2012
LPL FINANCIAL LLC
July 5, 2011 - March 23, 2012
LPL FINANCIAL LLC
April 29, 2005 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 15, 2005 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 9, 2001 - May 9, 2005
MESIROW FINANCIAL, INC.
April 6, 2001 - May 9, 2005
MESIROW FINANCIAL, INC.
September 17, 1990 - April 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 24, 1987 - September 18, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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