Seema S. Kale
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.
Seema S Kale was a registered financial professional .
Seema is a previously registered financial professional and started their career in finance in 1997. Seema had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - November 19, 2012
MCDERMOTT INVESTMENT SERVICES, LLC
August 3, 2006 - November 27, 2013
MCDERMOTT INVESTMENT ADVISORS, LLC
June 20, 2006 - October 30, 2008
STEVEN L. FALK & ASSOCIATES INC.
August 29, 2000 - February 1, 2005
STEVEN L. FALK & ASSOCIATES INC.
July 29, 1999 - August 21, 2000
COORDINATED CAPITAL SECURITIES, INC.
September 15, 1997 - April 20, 1999
PFS INVESTMENTS 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
MCDERMOTT INVESTMENT SERVICES, LLC
CRD#: 154926 / SEC#: , 8-68683
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Civil Event | 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.
