Kaitlyn E. Biggs
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.
Kaitlyn Eileen Biggs, who also goes by Kaitlyn Eileen Biggs Ms., Kaitlyn Biggs, was a registered financial professional .
Kaitlyn is a previously registered financial professional and started their career in finance in 2007. Kaitlyn had worked at 4 firms and has passed the Series 63 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
October 2, 2013 - January 8, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
September 20, 2007 - June 10, 2011
CHASE INVESTMENT SERVICES CORP.
March 8, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 8, 2007 - September 21, 2007
MSI FINANCIAL SERVICES, 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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
