Kelly M. Carll
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.
Kelly Marie Carll was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2001. Kelly had worked at 7 firms and has passed the Series 63, 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 13, 2018 - November 9, 2018
SW FINANCIAL
March 15, 2018 - July 30, 2018
WORDEN CAPITAL MANAGEMENT LLC
March 28, 2012 - March 22, 2016
NATIONAL SECURITIES CORPORATION
April 27, 2010 - February 27, 2012
FAGENSON & CO., INC.
July 19, 2007 - March 31, 2010
GUNNALLEN FINANCIAL, INC
January 12, 2004 - February 7, 2007
NATIONAL SECURITIES CORPORATION
November 20, 2002 - August 6, 2003
LADENBURG THALMANN & CO. INC.
July 27, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
