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KK

Kristen A. Kary

VANGUARD MARKETING
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 6088292
KK

Professional summary

Kristen Arlene Kary, who also goes by Kristen Arlene Garrity, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Kristen is registered as a RR (Registered Representative) and started their career in finance in 2014. Kristen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristen Arlene Garrity

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 Arlene Kary'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

November 29, 2018 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260
BD
CRD#: 7452
Scottsdale, AZ
Past

January 15, 2015 - March 22, 2018

HARVEST INVESTMENT SERVICES, LLC

RIA
CRD#: 159390
OAKBROOK TERRACE, IL
Past

October 29, 2014 - December 15, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
PALOS HILLS, IL
Past

March 6, 2014 - December 15, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
PALOS HILLS, IL

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
Arizona
(12/6/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

CRD#: 7452 / SEC#: , 8-21570

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

Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# 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#
THE VANGUARD GROUP, INC.PARENT COMPANY
BENCHENER, MATTHEW JOHNCHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE5569805
BENDL, JOHN WESLEYDIRECTOR, SENIOR VICE PRESIDENT6931980
BISORDI, JOHNDIRECTOR, VICE PRESIDENT, GENERAL COUNSEL7526828
BOATENG, AMMA ACHEAMPOMAADIRECTOR, SENIOR VICE PRESIDENT4677078
BRANCATO, MATTHEW CLARKDIRECTOR, VICE PRESIDENT6220380
JAMES, JOHN MARKDIRECTOR, SENIOR VICE PRESIDENT5594356
PANTALONE, SALVATORE L JRPRINCIPAL FINANCIAL OFFICER2887373
PETTY, DAVIDVICE PRESIDENT5684895
STEWART, MARC CHRISTOPHERCHIEF COMPLIANCE OFFICER2688699
TRETTER, MATTHEW ANTHONYPRINCIPAL OPERATIONS OFFICER5956530

Disclosures

Regulatory Event48
Arbitration8

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

VANGUARD MARKETING CORPORATION

CRD#: 7452Scottsdale, AZ 85260

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