Kristin R. Modell
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.
Kristin Rose Modell, who also goes by Kristin Rose Model, was a registered financial professional .
Kristin is a previously registered financial professional and started their career in finance in 2004. Kristin had worked at 8 firms and has passed the SIE 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
March 11, 2010 - December 4, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 16, 2010 - March 9, 2010
PLANMEMBER SECURITIES CORPORATION
August 7, 2007 - October 14, 2009
TRANSAMERICA CAPITAL, LLC
December 6, 2005 - March 13, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 13, 2005 - December 6, 2005
PACIFIC SELECT DISTRIBUTORS, LLC
August 24, 2004 - December 31, 2004
MUTUAL SERVICE CORPORATION
May 17, 2004 - July 13, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 1, 2004 - March 1, 2004
ALLEN DOUGLAS SECURITIES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
