Kelly J. Cowing
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.
Kelly J Cowing was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1999. Kelly had worked at 6 firms and has passed the Series 63, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - January 31, 2019
PHILLIPS & COMPANY
June 2, 2009 - November 6, 2009
VOYA FINANCIAL ADVISORS, INC.
May 18, 2009 - November 6, 2009
VOYA FINANCIAL ADVISORS, INC.
October 11, 2007 - April 1, 2009
SIGNATOR FINANCIAL SERVICES, INC.
October 11, 2007 - April 1, 2009
SIGNATOR FINANCIAL SERVICES, INC.
December 1, 2005 - October 1, 2007
VALMARK ADVISERS, INC.
October 31, 2005 - October 1, 2007
VALMARK SECURITIES, INC.
November 1, 1999 - November 21, 2005
NEW ENGLAND SECURITIES
September 14, 1999 - November 21, 2005
NEW ENGLAND SECURITIES
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
Series 28
Date: 7/5/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PHILLIPS & COMPANY
CRD#: 35800 / SEC#: , 8-46896
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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