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KL

Karly M. Lampman

CORMARK SECURITIES (USA) LIMITED
Toronto, Ontario, M5J 2J2
Some features on this profile are disabled
CRD#: 6113306
KL

Professional summary

Karly Michelle Lampman, who also goes by Karly Michelle Healey, is a registered financial professional currently at CORMARK SECURITIES (USA) LIMITED .

Karly is registered as a RR (Registered Representative) and started their career in finance in 2013. Karly has worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karly Michelle Healey

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 Karly Michelle Lampman's 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

December 12, 2013 - Present

CORMARK SECURITIES (USA) LIMITED

Office #1: Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
BD
CRD#: 101000
Toronto, Ontario,

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

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/11/2013
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CORMARK SECURITIES (USA) LIMITED
CORMARK SECURITIES (USA) LIMITED | SPROTT SECURITIES (USA) LIMITED

CRD#: 101000 / SEC#: , 8-52049

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

Main Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Mailing Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Phone number
(416) 362-7485
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CORMARK SECURITIES INCSHAREHOLDER
EISENSTAT, JULIACHIEF COMPLIANCE OFFICER4925912
LAMACRAFT, SCOTT EMMETTPRESIDENT4059049
LAMPMAN, KARLY MICHELLECHIEF FINANCIAL OFFICER6113306
STREETER, SUSAN JANECHIEF EXECUTIVE OFFICER4801060

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

CORMARK SECURITIES (USA) LIMITED

CRD#: 101000Toronto, Ontario, M5J 2J2

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