Alison K. Mckell
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.
Alison Kreft Mckell, who also goes by Alison Lee Kreft, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2002. Alison had worked at 5 firms and has passed the Series 63 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, 2013 - February 24, 2014
CAIN BROTHERS & COMPANY, LLC
July 30, 2008 - January 5, 2011
FIRST SOUTHWEST COMPANY, LLC
March 20, 2006 - July 1, 2008
UBS SECURITIES LLC
July 8, 2004 - March 28, 2006
BANC OF AMERICA SECURITIES LLC
March 13, 2002 - April 22, 2004
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAIN BROTHERS & COMPANY, LLC
CRD#: 13649 / SEC#: , 8-43078
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
