Karol R. Hood
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.
Karol Randy Hood, who also goes by K R Hood, Randy Hood, was a registered financial professional .
Karol is a previously registered financial professional and started their career in finance in 1996. Karol had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2012 - July 2, 2015
SMITH HAYES ADVISERS INC
May 14, 2012 - July 2, 2015
SMITH HAYES FINANCIAL SERVICES CORPORATION
July 25, 2006 - May 14, 2012
BANCWEST INVESTMENT SERVICES, INC.
January 2, 2002 - March 7, 2005
TD AMERITRADE CLEARING, INC.
March 17, 2000 - December 31, 2001
J.P. SECURITIES, INC.
October 1, 1996 - March 2, 2000
IDS LIFE INSURANCE COMPANY
October 1, 1996 - March 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
SMITH HAYES ADVISERS INC
CRD#: 110776 / SEC#: 801-56902
Contact information
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.
