Kyle D. Kroberger
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.
Kyle D Kroberger was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2001. Kyle had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2014 - January 21, 2020
BNY MELLON SECURITIES CORPORATION
September 10, 2014 - January 21, 2020
BNY MELLON SECURITIES CORPORATION
August 25, 2009 - September 17, 2014
AMUNDI DISTRIBUTOR US, INC.
August 24, 2009 - September 17, 2014
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
October 12, 2006 - November 25, 2008
MANULIFE INVESTMENT MANAGEMENT (US) LLC
October 12, 2006 - November 25, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 10, 2006 - November 20, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 29, 2006 - September 19, 2008
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - August 1, 2007
BLACKROCK INVESTMENTS, LLC
May 23, 2006 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
May 23, 2006 - September 29, 2006
FAM DISTRIBUTORS, INC.
April 15, 2004 - May 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2001 - May 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
Current Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
