Jerry K. Mcfarlane
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.
Jerry Kenneth Mcfarlane was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1970. Jerry had worked at 9 firms and has passed the Series 63, Series 1 and V06 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2011 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
December 15, 2003 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
June 15, 2000 - December 15, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
April 3, 1990 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
June 18, 1989 - April 20, 1990
SUNAMERICA SECURITIES, INC.
May 19, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
March 9, 1983 - July 7, 1987
NEW ENGLAND SECURITIES
March 28, 1974 - April 18, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 28, 1974 - April 18, 1983
MONY SECURITIES CORPORATION
February 2, 1970 - March 1, 1971
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Series 1
Date: 3/31/1974
Registered Representative ExaminationV06
Date: 1/24/1970
Variable Annuities Module ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
