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KL

Kristen M. Laughlin-caroff

LIQUIDITY.IO
WHITEFISH, MT 59937
Some features on this profile are disabled
CRD#: 5136783
KL

Professional summary

Kristen Marie Laughlin-caroff, who also goes by Kristen Marie Laughlin, is a registered financial professional currently at LIQUIDITY.IO, LLC located in Whitefish, Montana.

Kristen is registered as a RR (Registered Representative) and started their career in finance in 2006. Kristen has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 82, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristen Marie Laughlin

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) - BD

Click below to view Kristen Marie Laughlin-caroff's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 6, 2025 - Present

LIQUIDITY.IO, LLC

Office #1: 350 Sugarbowl Circle, Whitefish, MT 59937
BD
CRD#: 289499
WHITEFISH, MT
Past

January 24, 2024 - May 2, 2025

LITTLE RIVER CAPITAL, LLC

BD
CRD#: 118917
VESTAVIA HILLS, AL
Past

September 1, 2020 - January 29, 2024

CARLETON MCKENNA ADVISORS, LLC

BD
CRD#: 159230
CLEVELAND, OH
Past

March 28, 2017 - September 1, 2020

CANDLEWOOD SECURITIES, LLC

BD
CRD#: 126042
CLEVELAND, OH
Past

February 23, 2015 - March 24, 2017

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

June 5, 2006 - July 29, 2008

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
CLEVELAND, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Montana
(5/6/2025)
RR
Ohio
(5/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/2/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82
Date: 2/21/2015
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 55
Date: 10/2/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/2/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LL
LIQUIDITY.IO, LLC
ARQ ADVISORS LLC | LIQUIDITY.IO, LLC | ARQ SECURITIES

CRD#: 289499 / SEC#: , 8-70000

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

Main Address
350 Sugarbowl Circle, Whitefish, MT 59937
Mailing Address
350 Sugarbowl Circle, Whitefish, MT 59937
Phone number
(908) 608-8831
Established
Delaware since 01/02/2015
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 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#
SATSCHEL INCOWNER
CHOI, ERICCEO/PRINCIPAL/CCO2705845
BASKETT, ERINCFO/FINOP4538604
BEVAUN, MARLONFINOP6259795

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

LIQUIDITY.IO, LLC

CRD#: 289499Whitefish, MT 59937

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