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KH

Kester E. Hood

Some features on this profile are disabled
CRD#: 2509848
KH

Professional summary

Kester Eugene Hood was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kester is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kester had worked at 1 firm, which includes ALLFIRST BROKERAGE CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 29, 1994 - January 24, 2000

ALLFIRST BROKERAGE CORPORATION

BD
CRD#: 17531
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 11/28/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AB
ALLFIRST BROKERAGE CORPORATION
ALLFIRST BROKERAGE CORPORATION | FIRST MARYLAND BROKERAGE CORPORATION | FIRST DISCOUNT BROKERAGE, INCORPORATED

CRD#: 17531 / SEC#: , 8-35232

BD
Terminated by SEC on 07/18/2003
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Maryland since 01/29/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MANUFACTURERS & TRADERS TRUST COMPANYSHAREHOLDER
CARPENTERJR, ROBERT LCOMPTROLLER2816817
GOLD, RICK ALVINDIRECTOR4354551
HYNES, TIMOTHY JOSEPHDIRECTOR4354667
JACKSON, KATHY ALEXANDRADIRECTOR1448813
MILLER, NANCY AASSISTANT SECRETARY2589624
MOY, MARYLOVE HEARTYE.V.P., S.R.O.P., C.R.O.P.1857181
MULLICAN, MARK ALLENPRESIDENT, CEO, DIRECTOR & COMPLIANCE OFFICER2583134
ODLUM, MICHAEL GREGORYDIRECTOR703911
ORDWAY, DEBRA JANEC.F.O.4401380
RATLIFFE, JEROME ANTHONYSECRETARY4354679
THORESON, GREGORY KENTASSISTANT SECRETARY2589627

Disclosures

Regulatory Event3

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.

Company Information

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

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