SK
Sean A. Kund
ALLY INVEST SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 3097242
SK
Professional summary
Sean Anthony Kund is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Anthony Kund's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 11, 2015 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202BD
CRD#: 136131
Charlotte, NC
Past
July 24, 2007 - September 4, 2013
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
MIAMI, FL
Past
February 10, 2006 - July 24, 2007
ACCREDITED EQUITIES INCORPORATED
BD
CRD#: 108220
MIAMI, FL
Past
January 11, 2005 - February 8, 2005
HALPERN CAPITAL, INC.
BD
CRD#: 119895
AVENTURA, FL
Past
March 16, 2004 - December 10, 2004
NOBLE CAPITAL MARKETS, INC.
BD
CRD#: 15768
BOCA RATON, FL
Past
August 28, 1998 - October 16, 2002
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/11/2015)
RR
Alaska(3/11/2015)
RR
Arizona(3/11/2015)
RR
Arkansas(3/11/2015)
RR
California(3/11/2015)
RR
Colorado(3/11/2015)
RR
Connecticut(3/11/2015)
RR
Delaware(3/11/2015)
RR
District of Columbia(3/11/2015)
RR
Florida(3/11/2015)
RR
Georgia(3/11/2015)
RR
Hawaii(3/11/2015)
RR
Idaho(3/11/2015)
RR
Illinois(3/11/2015)
RR
Indiana(3/11/2015)
RR
Iowa(3/11/2015)
RR
Kansas(3/11/2015)
RR
Kentucky(3/11/2015)
RR
Louisiana(3/11/2015)
RR
Maine(3/11/2015)
RR
Maryland(3/11/2015)
RR
Massachusetts(3/11/2015)
RR
Michigan(3/11/2015)
RR
Minnesota(3/11/2015)
RR
Mississippi(3/11/2015)
RR
Missouri(3/11/2015)
RR
Montana(3/11/2015)
RR
Nebraska(3/11/2015)
RR
Nevada(3/11/2015)
RR
New Hampshire(3/11/2015)
RR
New Jersey(3/11/2015)
RR
New Mexico(3/11/2015)
RR
New York(3/11/2015)
RR
North Carolina(3/11/2015)
RR
North Dakota(3/11/2015)
RR
Ohio(3/11/2015)
RR
Oklahoma(3/11/2015)
RR
Oregon(3/11/2015)
RR
Pennsylvania(3/11/2015)
RR
Puerto Rico(3/11/2015)
RR
Rhode Island(3/11/2015)
RR
South Carolina(3/11/2015)
RR
South Dakota(3/11/2015)
RR
Tennessee(3/11/2015)
RR
Texas(3/11/2015)
RR
Utah(3/11/2015)
RR
Vermont(3/11/2015)
RR
Virginia(3/11/2015)
RR
Washington(3/11/2015)
RR
West Virginia(3/11/2015)
RR
Wisconsin(3/11/2015)
RR
Wyoming(3/11/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/22/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.
CRD#: 136131 / SEC#: , 8-66982
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
