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KK

Kevin C. Karl

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CRD#: 2971274
KK

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.

Kevin Christopher Karl was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 28, 2011 - October 31, 2012

VISION FINANCIAL MARKETS LLC

BD
CRD#: 142271
CHICAGO, IL
Past

March 23, 2011 - June 2, 2011

BLUE CAPITAL GROUP LLC

BD
CRD#: 46759
CHICAGO, IL
Past

December 15, 1997 - February 11, 1998

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/1997
General Securities Representative Examination

Current Firm

VF
VISION FINANCIAL MARKETS LLC
HR TRADER | VISION LIMITED PARTNERSHIP | VISION FINANCIAL MARKETS LLC

CRD#: 142271 / SEC#: , 8-67447

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Phone number
(203) 388-2700
Established
Delaware since 05/15/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROTHMAN, HOWARD MARTINPRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER1098190
ROTHMAN, MICHAEL DAVIDGENERAL MANAGER6682487
FELAG, JOHN CHRISTOPHERCHIEF RISK OFFICER1874602
HERRITT, JOSHUA DAVIDVP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP6205459
KARAFA, JOHN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP2927594
MARTINEZ, ANAVICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER5288054

Disclosures

Regulatory Event32

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.

Company Information

VISION FINANCIAL MARKETS LLC

CRD#: 142271

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