Colleen E. Corwell
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.
Colleen Elizabeth Corwell was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2000. Colleen had worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2024 - January 9, 2026
KROLL SECURITIES LLC
February 11, 2021 - June 22, 2023
ARCOLA SECURITIES, INC.
May 8, 2020 - January 19, 2024
SERA GLOBAL SECURITIES US LLC
September 21, 2018 - December 18, 2019
BENTALLGREENOAK REAL ESTATE US LLC
November 6, 2017 - January 23, 2024
FENIMORE SECURITIES, INC.
January 16, 2017 - April 2, 2018
LOEB PARTNERS CORPORATION
August 18, 2015 - November 18, 2016
CR CAPITAL DISTRIBUTORS, LLC
November 20, 2013 - June 2, 2015
CLARION PARTNERS SECURITIES, LLC
June 27, 2011 - January 24, 2014
FORESIDE FUND SERVICES, LLC
August 16, 2010 - June 28, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 29, 2010 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
July 31, 2009 - April 6, 2010
CAPITAL ONE FINANCIAL ADVISORS LLC
January 8, 2009 - April 6, 2010
CAPITAL ONE INVESTMENT SERVICES LLC
May 19, 2008 - December 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2001 - April 23, 2008
TAYLOR FINANCIAL SERVICES, LLC
April 5, 2000 - May 15, 2000
LIGHTSPEED PROFESSIONAL TRADING 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
KROLL SECURITIES LLC
CRD#: 36927 / SEC#: , 8-47558
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KROLL, LLC | OWNER | |
| ATTANASIO, ELIZABETH MARIE | PRINCIPAL OPERATIONS OFFICER | 5325007 |
| ATTANASIO, ELIZABETH MARIE | FINOP | 5325007 |
| ATTANASIO, ELIZABETH MARIE | PRINCIPAL FINANCIAL OFFICER | 5325007 |
| BARTELL, ROBERT ANTHONY | VICE CHAIRMAN | 4998599 |
| BENN, JOSHUA KOGAN | MANAGING DIRECTOR | 3166674 |
| BLOWERS, DAVID CHARLES JR. | CEO | 5960307 |
| BURT, STEPHEN M | PRESIDENT | 2679117 |
| CAPITMAN, ANDREW WILLIAM | MANAGING DIRECTOR | 2321386 |
| JANCOVIC, GIZELLE MARIE | CHIEF COMPLIANCE OFFICER | 5654006 |
| LU, DAVID HAI GE | MANAGING DIRECTOR | 3069820 |
| MOON, STEVEN JAE-HO | MANAGING DIRECTOR | 4860246 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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