Kerry M. Cottrell
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.
Kerry Mack Cottrell was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1999. Kerry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2012 - September 12, 2018
TRADINGBLOCK
September 30, 2008 - August 22, 2012
BROKERSXPRESS LLC
September 30, 2008 - August 22, 2012
BROKERSXPRESS LLC
October 5, 2004 - October 29, 2008
FIRST MIDWEST SECURITIES, INC.
September 30, 2004 - October 29, 2008
FIRST MIDWEST SECURITIES, INC.
January 7, 2003 - October 13, 2004
QUESTAR CAPITAL CORPORATION
December 5, 2002 - October 13, 2004
QUESTAR CAPITAL CORPORATION
August 23, 2000 - December 12, 2002
FFP ADVISORY SERVICES INC
March 10, 1999 - December 12, 2002
FFP SECURITIES, 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
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
