Merissa A. Davis
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.
Merissa Ann Davis, who also goes by Merissa A Davis, Merissa A Gacek, Merissa Ann Gacek, Merissa Ann Maltos, was a registered financial professional .
Merissa is a previously registered financial professional and started their career in finance in 1998. Merissa had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - December 20, 2019
KALOS CAPITAL, INC.
August 14, 2015 - June 14, 2017
LAS OLAS CAPITAL ADVISORS, LLC
August 3, 2015 - February 1, 2017
CAPITAL GUARDIAN, LLC
March 4, 2014 - August 11, 2015
UBS FINANCIAL SERVICES INC.
November 26, 2008 - August 11, 2015
UBS FINANCIAL SERVICES INC.
February 20, 2006 - November 11, 2008
KALOS CAPITAL, INC.
January 5, 2006 - March 2, 2006
SCOTT & STRINGFELLOW, LLC
February 25, 2005 - January 12, 2006
BERGEN CAPITAL, INC.
December 6, 2004 - February 17, 2005
BOLTON GLOBAL CAPITAL
November 26, 2001 - January 25, 2005
GMS GROUP
May 5, 1999 - November 12, 2001
UBS FINANCIAL SERVICES INC.
August 3, 1998 - April 21, 1999
CITIGROUP GLOBAL MARKETS INC.
March 19, 1998 - July 24, 1998
UBS FINANCIAL SERVICES 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
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
