Carol L. Osterberg
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.
Carol Louise Osterberg, who also goes by Carol Louise Nickson, Carol Louise Speidel, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1989. Carol had worked at 6 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
October 13, 2017 - December 31, 2018
KMS FINANCIAL SERVICES, INC.
October 13, 2017 - December 31, 2018
KMS FINANCIAL SERVICES, INC.
December 1, 2010 - December 31, 2013
FUTURE PLANNING SYSTEMS, INC.
August 31, 2007 - October 19, 2017
NATIONAL PLANNING CORPORATION
August 31, 2007 - October 19, 2017
NATIONAL PLANNING CORPORATION
December 10, 1996 - September 6, 2007
OSAIC WEALTH, INC.
August 7, 1990 - December 11, 1996
WALNUT STREET SECURITIES, INC.
October 25, 1989 - August 14, 1990
U.S. SECURITIES CLEARING CORP.
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.
