Kenya L. Callier
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.
Kenya Lashawn Callier, who also goes by Ken Callier, Kenya L Callier, Kenya Leshawn Callier, Kenya Callier, was a registered financial professional .
Kenya is a previously registered financial professional and started their career in finance in 2006. Kenya had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
March 28, 2018 - August 29, 2018
E*TRADE SECURITIES LLC
April 27, 2015 - November 15, 2016
FSC SECURITIES CORPORATION
April 1, 2015 - November 15, 2016
WOODBURY FINANCIAL SERVICES, INC.
April 1, 2015 - November 15, 2016
OSAIC SERVICES, INC.
April 1, 2015 - November 15, 2016
OSAIC WEALTH, INC.
April 1, 2015 - November 15, 2016
FSC SECURITIES CORPORATION
May 8, 2013 - October 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2013 - October 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 16, 2009 - September 9, 2011
TRUIST INVESTMENT SERVICES, INC.
April 14, 2009 - September 9, 2011
TRUIST INVESTMENT SERVICES, INC.
May 16, 2008 - October 8, 2008
WADDELL & REED
May 13, 2008 - October 8, 2008
WADDELL & REED
October 18, 2007 - February 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2007 - February 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2006 - July 11, 2007
E*TRADE SECURITIES 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
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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.
