Karl W. Fromm
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.
Karl William Fromm, who also goes by Karl W. Fromm, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2001. Karl had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2011 - July 22, 2015
SCOTTRADE, INC.
July 6, 2010 - June 10, 2011
MORGAN STANLEY
July 6, 2010 - June 10, 2011
MORGAN STANLEY
August 13, 2009 - January 25, 2010
WADDELL & REED
August 13, 2009 - January 25, 2010
WADDELL & REED
April 3, 2009 - May 18, 2009
BANCWEST INVESTMENT SERVICES, INC.
June 17, 2008 - May 18, 2009
BANCWEST INVESTMENT SERVICES, INC.
July 20, 2007 - June 13, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2007 - July 3, 2007
CITIGROUP GLOBAL MARKETS INC.
September 17, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
September 24, 2001 - August 10, 2004
FORESTERS EQUITY SERVICES, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
