Austin B. Kikta
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.
Austin Blair Kikta, who also goes by Austin B Kikta, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2011. Austin had worked at 5 firms and has passed the Series 65, 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
September 27, 2018 - April 20, 2022
KALOS CAPITAL, INC.
April 7, 2015 - September 28, 2018
TRIAD ADVISORS LLC
June 21, 2013 - March 5, 2015
SPC
June 7, 2013 - March 5, 2015
SIGMA FINANCIAL CORPORATION
April 3, 2012 - May 1, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
August 30, 2011 - May 1, 2013
FIRST COMMAND BROKERAGE 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
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
