Karla J. Kander
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.
Karla Jane Kander, who also goes by Karla J Kander, Karla Kander, was a registered financial professional .
Karla is a previously registered financial professional and started their career in finance in 2010. Karla had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - March 27, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - March 27, 2015
CAPITAL ONE INVESTING, LLC
March 5, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
March 5, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
October 8, 2012 - February 11, 2013
ONEAMERICA SECURITIES, INC.
October 8, 2012 - February 11, 2013
ONEAMERICA SECURITIES, INC.
February 3, 2012 - September 18, 2012
MSI FINANCIAL SERVICES, INC.
November 23, 2011 - September 18, 2012
MSI FINANCIAL SERVICES, INC.
December 24, 2010 - December 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 1, 2010 - December 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
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.
