Deborah A. Carlson
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.
Deborah Anne Carlson, who also goes by Deborah Anne Slusarczyk, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1996. Deborah had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
January 2, 2018 - June 28, 2021
KBC SECURITIES USA LLC
March 28, 2011 - January 29, 2016
LLOYDS SECURITIES
January 9, 2003 - February 25, 2004
COMMERZ MARKETS LLC
May 17, 2002 - January 6, 2003
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
December 17, 1996 - May 16, 2002
COMMERZ MARKETS LLC
September 16, 1996 - December 17, 1996
DRESDNER SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KBC SECURITIES USA LLC
CRD#: 46709 / SEC#: , 8-51529
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBC BANK N.V. | SHAREHOLDER | |
| RAGUSA, ROSALBA | FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER & PRIMARY ANTI-MONEY LAUNDERING OFFICER | 2830587 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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