Debra K. Snetting
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.
Debra Kay Snetting, who also goes by Debra Kay Kennedy, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 2000. Debra had worked at 13 firms and has passed the Series 65, Series 66, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53 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
November 1, 2017 - December 31, 2022
LANDOLT SECURITIES, INC.
March 2, 2016 - May 31, 2016
RICHFIELD ORION INTERNATIONAL, INC.
February 24, 2016 - December 31, 2022
TKC WEALTH MANAGEMENT LLC
November 15, 2013 - October 21, 2015
CLARAPHI ADVISORY NETWORK, LLC
July 27, 2012 - July 25, 2013
B. RILEY WEALTH ADVISORS, INC.
March 31, 2009 - October 12, 2010
RICHFIELD ORION FINANCIAL ADVISORS, INC.
July 21, 2008 - December 31, 2009
RICHFIELD ORION FINANCIAL ADVISORS, LLC
December 6, 2007 - February 23, 2016
RICHFIELD ORION INTERNATIONAL, INC.
September 7, 2006 - October 25, 2007
INTERVEST INTERNATIONAL EQUITIES CORPORATION
May 23, 2006 - September 15, 2006
RBC CAPITAL MARKETS, LLC
May 27, 2004 - June 2, 2006
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 30, 2003 - November 17, 2003
NATIONWIDE SECURITIES, LLC
November 25, 2002 - August 1, 2003
FSC SECURITIES CORPORATION
September 16, 2002 - October 7, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 2000 - August 29, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2000 - August 29, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
