Kelly A. Fiume
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 Antoinette Fiume, who also goes by Kelly A Boles, Kelly Antoinette Boles, Kelly Antoinette Fiume, Kelly A Fiume, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1992. Kelly had worked at 10 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
October 20, 2015 - October 20, 2016
CAPITAL ONE INVESTING, LLC
January 8, 2013 - May 6, 2014
GROVE POINT INVESTMENTS, LLC
October 12, 2009 - December 17, 2012
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 4, 2008 - September 30, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 18, 2007 - August 8, 2008
NORTH RIDGE SECURITIES CORP.
October 31, 2005 - May 5, 2006
OSAIC SERVICES, INC.
June 24, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 16, 2003 - June 3, 2005
PGP FINANCIAL, INC.
June 3, 1998 - August 1, 2003
LPL FINANCIAL LLC
April 22, 1994 - June 5, 1996
KIRLIN SECURITIES INC.
September 17, 1992 - March 2, 1994
FISCO EQUITY, INC.
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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
