Audley H. Palmer
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.
Audley Hugh Palmer, who also goes by A Hugh Palmer, was a registered financial professional .
Audley is a previously registered financial professional and started their career in finance in 1996. Audley had worked at 3 firms and has passed the Series 65, Series 63 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
May 10, 2000 - August 17, 2000
KRIEGER FINANCIAL SERVICES, INC.
January 8, 1998 - June 2, 2000
JWGENESIS SECURITIES, INC.
June 5, 1996 - January 20, 1998
JOSEPH CHARLES & ASSOC., INC.
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
KRIEGER FINANCIAL SERVICES, INC.
CRD#: 44959 / SEC#: , 8-50904
Contact information
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.
