Kelly A. Young
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.
Kelly Ann Young, who also goes by Kelly Ann Pieroni, Kelly Ann Roman, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2016. Kelly had worked at 1 firm and has passed the SIE, Series 99TO and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2016 - January 2, 2024
HILCO CORPORATE FINANCE, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/22/2016
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
HILCO CORPORATE FINANCE, LLC
CRD#: 282060 / SEC#: , 8-69699
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
