Karolyn M. Hector
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.
Karolyn Marie Hector, who also goes by H, Karolyn Marie Howard, Karolyn Wolf, was a registered financial professional .
Karolyn is a previously registered financial professional and started their career in finance in 1995. Karolyn had worked at 10 firms and has passed the Series 65, 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
April 1, 2015 - January 29, 2016
SCOTTRADE, INC.
December 15, 2011 - October 14, 2013
TD AMERITRADE, INC.
December 15, 2011 - October 14, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 15, 2011 - October 14, 2013
TD AMERITRADE, INC.
August 10, 2011 - December 20, 2011
EAGLE STRATEGIES LLC
June 24, 2011 - December 20, 2011
NYLIFE SECURITIES LLC
May 24, 2010 - September 27, 2010
STRATEGIC ADVISERS LLC
September 10, 2007 - June 9, 2011
FIDELITY BROKERAGE SERVICES LLC
July 6, 2005 - February 4, 2010
STRATEGIC ADVISERS LLC
April 8, 2005 - August 14, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
September 5, 2003 - March 28, 2005
PRINCIPAL SECURITIES, INC.
September 21, 1995 - July 17, 2003
AMERICAN CENTURY INVESTMENT SERVICES 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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