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KV

Kelly Vizcarra

Some features on this profile are disabled
CRD#: 5061413
KV

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 Vizcarra was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2006. Kelly had worked at 4 firms and has passed the Series 66, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 12, 2014 - September 24, 2014

SNOWDEN ACCOUNT SERVICES LLC

BD
CRD#: 149794
PASADENA, CA
Past

June 4, 2014 - September 24, 2014

SNOWDEN CAPITAL ADVISORS LLC

RIA
CRD#: 157299
NEW YORK, NY
Past

December 18, 2007 - August 6, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

December 18, 2007 - August 6, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOS ANGELES, CA
Past

August 24, 2006 - February 14, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LOS ANGELES, CA
Past

August 14, 2006 - February 14, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LOS ANGELES, CA
Past

March 15, 2006 - June 1, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/23/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/30/2010
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/21/2010
General Securities Sales Supervisor - Options Module Examination

Current Firm

SNOWDEN ACCOUNT SERVICES LLC
SNOWDEN ACCOUNT SERVICES LLC
SNOWDEN ACCOUNT SERVICES LLC | TBG CAPITAL, INC. | SNOWDEN ACCOUNT SERVICES, INC.

CRD#: 149794 / SEC#: , 8-68188

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
540 Madison Ave 9th Floor, New York, NY 10022
Mailing Address
540 Madison Ave 9th Floor, New York, NY 10022
Phone number
(646) 218-9760
Established
Delaware since 12/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCP INTERMEDIATE HOLDINGS LLCOWNER
FRANKS, GREGORY CREECHPRESIDENT1138171
MOONEY, ROBERT JAMESCEO & EXEC. REP4085030
RAIETA, JOSEPH AMANAGING DIRECTOR, INVESTMENT SOLUTIONS4646434
SEEMAN, MATTHEW CARLDIRECTOR OF FINANCE & FINOP6183764
WEST, RICHARD LEEGENERAL COUNSEL AND CCO4470264

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.

Company Information

SNOWDEN ACCOUNT SERVICES LLC

SNOWDEN ACCOUNT SERVICES LLC

CRD#: 149794

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