Kelly A. Macpherson
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.
Kelly Anne Macpherson was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1996. Kelly had worked at 10 firms and has passed the Series 63, SIE 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
November 22, 2013 - November 5, 2018
NATIONAL SECURITIES CORPORATION
July 22, 2013 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
July 19, 2010 - August 5, 2011
B. RILEY WEALTH MANAGEMENT
March 16, 2010 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
June 3, 2002 - November 6, 2009
VINING-SPARKS IBG, LLC
January 2, 2001 - June 14, 2002
MESIROW FINANCIAL, INC.
November 1, 2000 - January 2, 2001
SUNCOAST CAPITAL GROUP, LTD.
January 7, 2000 - November 10, 2000
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 1998 - May 20, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 26, 1996 - June 2, 1998
FIRST CLEARING, LLC
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
