Victoria C. Finn
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.
Victoria C Finn, who also goes by VIcki Charlton, Victoria Ann Charlton, Victoria Charlton Finn, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1993. Victoria had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2018 - April 5, 2018
KMS FINANCIAL SERVICES, INC.
April 22, 2014 - February 9, 2016
JANNEY MONTGOMERY SCOTT LLC
January 21, 2011 - April 21, 2014
OPPENHEIMER & CO. INC.
May 15, 2009 - January 19, 2011
OSAIC FS, INC.
October 10, 2008 - May 21, 2009
U.S. WEALTH ADVISORS, LLC.
January 11, 2006 - August 28, 2008
U.S. WEALTH ADVISORS, LLC.
November 5, 1999 - October 11, 2005
FIDELITY BROKERAGE SERVICES LLC
November 7, 1994 - October 21, 1999
FIDELITY BROKERAGE SERVICES LLC
March 3, 1993 - October 28, 1994
FIDELITY DISTRIBUTORS CORPORATION
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.
