A K. Faldi
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.
A Kelleigh Faldi was a registered financial professional .
A is a previously registered financial professional and started their career in finance in 1996. A had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - June 21, 2022
BERENBERG CAPITAL MARKETS LLC
April 30, 2007 - August 1, 2011
DETWILER FENTON & CO.
September 30, 2006 - April 30, 2007
RANGE GLOBAL LLC
September 26, 2005 - October 3, 2006
CARLIN EQUITIES, LLC
June 14, 1999 - June 14, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
October 3, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/31/1999
Limited Representative-Equity Trader ExamCurrent Firm
BERENBERG CAPITAL MARKETS LLC
CRD#: 156757 / SEC#: , 8-68821
Contact information
FINRA licenses (14 States and Territories)
Documents
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.
