Caryn E. Kennedy
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.
Caryn Elizabeth Kennedy, who also goes by Caryn E Kennedy, Caryn Elizabeth Kennedy-merrill, Caryn Elizabeth Kennedy, Caryn Kennedy, Caryn Elizabeth Merrill, was a registered financial professional .
Caryn is a previously registered financial professional and started their career in finance in 2007. Caryn had worked at 10 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
July 17, 2020 - July 20, 2020
SECURITIES AMERICA, INC.
October 14, 2019 - July 17, 2020
INVESTACORP, INC.
December 6, 2016 - December 31, 2017
MML INVESTORS SERVICES, LLC
September 9, 2016 - November 7, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 7, 2011 - October 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2011 - October 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2011 - December 23, 2011
AMERICAN PORTFOLIOS ADVISORS, INC
February 18, 2011 - December 14, 2011
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 15, 2009 - February 28, 2011
SIGNATOR INVESTORS, INC.
February 8, 2008 - February 2, 2009
TSA MANAGEMENT INC
February 1, 2008 - February 2, 2009
HALLIDAY FINANCIAL, LLC
March 6, 2007 - February 12, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 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.
