Colleen E. Corwell

KROLL SECURITIES LLC

NEW YORK, NY 10007

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CRD#: 4154751

Professional summary

Colleen Elizabeth Corwell is a registered financial professional currently at KROLL SECURITIES LLC located in New York, New York.

Colleen is registered as a RR (Registered Representative) and started their career in finance in 2000. Colleen has 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

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colleen Elizabeth Corwell'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®

None

Experience

Current

April 24, 2024 - Present

KROLL SECURITIES LLC

Office #1: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007

CRD#: 36927

NEW YORK, NY

Past

February 11, 2021 - June 22, 2023

ARCOLA SECURITIES, INC.

CRD#: 147952

NEW YORK, NY

Past

May 8, 2020 - January 19, 2024

SERA GLOBAL SECURITIES US LLC

CRD#: 283339

NEW YORK, NY

Past

September 21, 2018 - December 18, 2019

BENTALLGREENOAK REAL ESTATE US LLC

CRD#: 157909

NEW YORK, NY

Past

November 6, 2017 - January 23, 2024

FENIMORE SECURITIES, INC.

CRD#: 104391

COBLESKILL, NY

Past

January 16, 2017 - April 2, 2018

LOEB PARTNERS CORPORATION

CRD#: 10929

NEW YORK, NY

Past

August 18, 2015 - November 18, 2016

CR CAPITAL DISTRIBUTORS, LLC

CRD#: 171776

NEWPORT BEACH, CA

Past

November 20, 2013 - June 2, 2015

CLARION PARTNERS SECURITIES, LLC

CRD#: 166384

NEW YORK, NY

Past

June 27, 2011 - January 24, 2014

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK, NY

Past

August 16, 2010 - June 28, 2011

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

April 29, 2010 - August 16, 2010

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

July 31, 2009 - April 6, 2010

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

January 8, 2009 - April 6, 2010

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

May 19, 2008 - December 23, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MITCHEL FIELD, NY

Past

October 2, 2001 - April 23, 2008

TAYLOR FINANCIAL SERVICES, LLC

CRD#: 111901

WASHINGTON, DC

Past

April 5, 2000 - May 15, 2000

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(4/24/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/21/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/4/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/15/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KROLL SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Mailing Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Phone number

(312) 697-4600

Established

Delaware since 06/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KROLL, LLC	OWNER
ATTANASIO, ELIZABETH MARIE	PRINCIPAL FINANCIAL OFFICER	5325007
ATTANASIO, ELIZABETH MARIE	FINOP	5325007
ATTANASIO, ELIZABETH MARIE	PRINCIPAL OPERATIONS 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

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.

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Advisor Monitoring

Firm Stability Insights

Colleen E. Corwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colleen Elizabeth Corwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARCOLA SECURITIES, INC.

SERA GLOBAL SECURITIES US LLC

BENTALLGREENOAK REAL ESTATE US LLC

FENIMORE SECURITIES, INC.

LOEB PARTNERS CORPORATION

CR CAPITAL DISTRIBUTORS, LLC

CLARION PARTNERS SECURITIES, LLC

FORESIDE FUND SERVICES, LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

ING INVESTMENT MANAGEMENT SERVICES LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TAYLOR FINANCIAL SERVICES, LLC

LIGHTSPEED PROFESSIONAL TRADING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2001

Series 63

Date: 4/10/2000

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/21/2000

Series 7

Date: 4/4/2000

Series 14

Date: 1/2/2023

Series 24

Date: 6/15/2001

FINRA

Current Firm

KROLL SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KROLL SECURITIES LLC

TRUST BUT VERIFY

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