Kelly C. Treseder

Some features on this profile are disabled

CRD#: 2198221

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 Caldwell Treseder was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 1992. Kelly had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 4, 2015 - September 14, 2015

FULCRUM SECURITIES, LLC

CRD#: 140084

WHITE PLAINS, NY

Past

September 17, 2013 - September 11, 2014

CCM SECURITIES, LLC

CRD#: 104457

NEW YORK, NY

Past

June 19, 2012 - September 6, 2013

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

March 26, 2012 - March 29, 2012

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

September 1, 2011 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

September 16, 2010 - June 3, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

CRD#: 144981

NEW YORK, NY

Past

March 3, 2010 - October 1, 2010

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

NEW YORK, NY

Past

April 16, 2009 - May 13, 2010

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

December 1, 2006 - April 22, 2009

FORTIS SECURITIES LLC

CRD#: 103714

NEW YORK, NY

Past

June 29, 2004 - June 1, 2006

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

June 18, 2001 - February 14, 2003

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

April 25, 2001 - June 18, 2001

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

June 30, 1997 - June 28, 1999

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

March 13, 1992 - August 3, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/29/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/2/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/11/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/18/2007

Registered Options Principal Examination

Current Firm

FULCRUM SECURITIES, LLC

FULCRUM SECURITIES, INC. | OFK SECURITIES, INC. | FULCRUM SECURITIES, LLC

CRD#: 140084 / SEC#: , 8-67274

Terminated by SEC on 12/26/2016

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Virginia since 05/04/2004

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AHM-PIVOT HOLDINGS LLC	DIRECT OWNER
BARTOW CREEK PARTNERS, LLC	DIRECT OWNER
BEATON, DANIEL STEWART	FINOP	4240769
BEHRENS, WILLIAM PAUL	PRESIDENT & CEO	16999
LYONS, CYNTHIA DAWN	CHIEF COMPLIANCE OFFICER, EXEC. REP, ROSFP, SECRETARY	1722606

Disclosures

Regulatory Event	3
Arbitration	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kelly C. Treseder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CCM SECURITIES, LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY SECURITIES LLC

COHEN & COMPANY CAPITAL MARKETS, LLC

COHEN & COMPANY SECURITIES, LLC

PALI CAPITAL, INC.

FORTIS SECURITIES LLC

COMMERZ MARKETS LLC

COMMERZBANK CAPITAL MARKETS CORP.

BANC ONE CAPITAL MARKETS, INC.

BANC ONE CAPITAL MARKETS, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/29/1995

SIE

Date: 9/14/2015

Series 3

Date: 4/2/1992

Series 7

Date: 3/11/1992

Series 24

Date: 4/24/2008

Series 4

Date: 8/18/2007

Current Firm

FULCRUM SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FULCRUM SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors