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KK

Kerry A. Kirk

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CRD#: 6366683
KK

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.

Kerry Anne Kirk was a registered financial professional .

Kerry is a previously registered financial professional and started their career in finance in 2015. Kerry had worked at 1 firm and has passed the SIE and Series 99 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.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2015 - August 19, 2016

SEALION CAPITAL, LLC

BD
CRD#: 171807
New York, NY

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: 8/19/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 11/17/2014
Operations Professional Examination

Current Firm

SC
SEALION CAPITAL, LLC
RMK CAPITAL | SEALION CAPITAL, LLC | RMK MARITIME CAPITAL, LLC

CRD#: 171807 / SEC#: , 8-69480

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

Main Address
1606 N New Jersey Street, Indianapolis, IN 46202
Mailing Address
1606 N New Jersey Street, Indianapolis, IN 46202
Phone number
(646) 470-9017
Established
Delaware since 01/21/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KIRK, MICHAEL THOMASCHIEF EXECUTIVE OFFICER4440333
MOTYKA, EMILY SUZANNECHIEF COMPLIANCE OFFICER6640288
MTK CAPITAL, LLCOWNER
TUCKER, CLARK BOMARFINOP1977842

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

SEALION CAPITAL, LLC

CRD#: 171807

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