Rhonda L. Kisel
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.
Rhonda Lynn Kisel was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1993. Rhonda had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2010 - August 22, 2017
PTI SECURITIES & FUTURES L. P.
January 7, 2005 - July 16, 2010
SECURITIES SERVICE NETWORK, LLC
January 19, 2000 - December 31, 2004
CADARET, GRANT & CO., INC.
September 26, 1996 - December 31, 2004
CADARET, GRANT & CO., INC.
August 30, 1996 - September 23, 1996
CADARET, GRANT & CO., INC.
June 27, 1996 - September 11, 1996
LPL FINANCIAL LLC
August 27, 1993 - July 1, 1996
IDS LIFE INSURANCE COMPANY
August 27, 1993 - July 1, 1996
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
PTI SECURITIES & FUTURES L. P.
CRD#: 29275 / SEC#: , 8-44412
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | |
| NKH CORPORATION | LIMITED PARTNER | |
| DYER, JOHN ROBERT | LIMITED PARTNER | |
| SHAPIRO, MELVIN | LIMITED PARTNER | |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER |
Disclosures
| Regulatory Event | 4 |
| 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.
