Mildred A. Killian
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.
Mildred Anne Killian, who also goes by Mildred Killian, Millie Killian, was a registered financial professional .
Mildred is a previously registered financial professional and started their career in finance in 1998. Mildred had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - January 14, 2019
N.A. INVESTCORP LLC
February 14, 2013 - March 3, 2014
D/B/A CLARKSONS PLATOU SECURITIES
September 9, 2004 - October 24, 2007
UST SECURITIES CORP.
March 24, 1998 - November 21, 2002
DRIEHAUS SECURITIES LLC
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
Series 55
Date: 2/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
N.A. INVESTCORP LLC
CRD#: 134162 / SEC#: , 8-66812
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTCORP INTERNATIONAL HOLDINGS, INC. | SHAREHOLDER | |
| GOLDCHAIN, SCOTT DAVID | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3276936 |
| MURPHY, BRIAN JOSEPH | SECRETARY | 1720020 |
| QASIMI, SAMI | CHIEF COMPLIANCE OFFICER | 5640450 |
| SHEA, PATRICK OFARRELL | HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL | 838154 |
Red Flags
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