JK
Joel J. Kallett
REGIONS SECURITIES LLC
Mclean, VA 22102
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CRD#: 1845290
JK
Professional summary
Joel J Kallett, who also goes by Joe Kallett, Joel Jay Kallett, is a registered financial professional currently at REGIONS SECURITIES LLC located in Mclean, Virginia.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1989. Joel has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe Kallett | Joel Jay Kallett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joel J Kallett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 7, 2022 - Present
REGIONS SECURITIES LLC
Office #1: 1650 Tysons Blvd Suite 710, Mclean, VA 22102BD
CRD#: 159475
Mclean, VA
Past
May 24, 2012 - December 31, 2021
CLEARSIGHT CAPITAL ADVISORS, INC
BD
CRD#: 159543
MCLEAN, VA
Past
August 7, 2006 - July 13, 2011
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
MCLEAN, VA
Past
February 10, 2004 - July 5, 2006
UPDATA SECURITIES, INC.
BD
CRD#: 128333
RESTON, VA
Past
October 3, 2000 - July 15, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
November 6, 1996 - July 3, 2000
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
January 1, 1996 - September 24, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 19, 1989 - December 31, 1993
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/31/2022)
RR
Alaska(5/31/2022)
RR
Arizona(5/31/2022)
RR
Arkansas(5/31/2022)
RR
California(5/31/2022)
RR
Colorado(5/31/2022)
RR
Connecticut(5/31/2022)
RR
Delaware(5/31/2022)
RR
District of Columbia(5/31/2022)
RR
Florida(5/31/2022)
RR
Georgia(5/31/2022)
RR
Hawaii(5/31/2022)
RR
Idaho(5/31/2022)
RR
Illinois(5/31/2022)
RR
Indiana(5/31/2022)
RR
Iowa(5/31/2022)
RR
Kansas(5/31/2022)
RR
Kentucky(5/31/2022)
RR
Louisiana(5/31/2022)
RR
Maine(5/31/2022)
RR
Maryland(5/31/2022)
RR
Massachusetts(5/31/2022)
RR
Michigan(5/31/2022)
RR
Minnesota(5/31/2022)
RR
Mississippi(5/31/2022)
RR
Missouri(5/31/2022)
RR
Montana(5/31/2022)
RR
Nebraska(5/31/2022)
RR
Nevada(5/31/2022)
RR
New Hampshire(5/31/2022)
RR
New Jersey(5/31/2022)
RR
New Mexico(5/31/2022)
RR
New York(4/29/2022)
RR
North Carolina(5/31/2022)
RR
North Dakota(5/31/2022)
RR
Ohio(6/1/2022)
RR
Oklahoma(5/31/2022)
RR
Oregon(5/31/2022)
RR
Pennsylvania(5/31/2022)
RR
Rhode Island(5/31/2022)
RR
South Carolina(5/31/2022)
RR
South Dakota(5/31/2022)
RR
Tennessee(4/29/2022)
RR
Texas(4/29/2022)
RR
Utah(5/31/2022)
RR
Vermont(5/31/2022)
RR
Virginia(1/7/2022)
RR
Washington(5/31/2022)
RR
West Virginia(5/31/2022)
RR
Wisconsin(5/31/2022)
RR
Wyoming(5/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
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.
