Kallie B. Hapgood
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.
Kallie Buehler Hapgood, who also goes by Kallie D Buehler, Kallie Diana Buehler, was a registered financial professional .
Kallie is a previously registered financial professional and started their career in finance in 1997. Kallie had worked at 6 firms and has passed the Series 63, SIE 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
December 2, 2016 - January 4, 2018
MD GLOBAL PARTNERS, LLC
September 5, 2014 - December 20, 2016
COLUMBUS ADVISORY GROUP, LTD.
August 12, 2014 - September 4, 2014
AEGIS CAPITAL CORP.
June 25, 2009 - July 31, 2014
DU PASQUIER & CO., INC.
July 23, 2008 - May 4, 2009
KNIGHT CAPITAL MARKETS LLC
July 31, 1997 - July 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MD GLOBAL PARTNERS, LLC
CRD#: 140988 / SEC#: , 8-67356
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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