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KC

Kacie L. Connors

ALTO SECURITIES
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 6138588
KC

Professional summary

Kacie Lynn Connors is a registered financial professional currently at ALTO SECURITIES, LLC located in Nashville, Tennessee.

Kacie is registered as a RR (Registered Representative) and started their career in finance in 2013. Kacie has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Kacie Lynn Connors'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

January 8, 2024 - Present

ALTO SECURITIES, LLC

Office #1: 500 11th Avenue N Suite 790, Nashville, TN 37203
BD
CRD#: 318536
Nashville, TN
Past

January 28, 2013 - August 9, 2016

MORGAN STANLEY

RIA
CRD#: 149777
MIAMI BEACH, FL
Past

January 9, 2013 - August 9, 2016

MORGAN STANLEY

BD
CRD#: 149777
MIAMI BEACH, FL

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

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC

CRD#: 318536 / SEC#: , 8-70863

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

Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(917) 495-8074
Established
Delaware since 12/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
ALTO SOLUTIONS, INC.OWNER
FRAIOLI, BRIAN MICHAELCCO2792474
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
ROMERO, MONIQUE VICTORIAFINOP / PFO / POO

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

ALTO SECURITIES, LLC

CRD#: 318536Nashville, TN 37203

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