Kay A. Fisher
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.
Kay Arlene Fisher, who also goes by Kay A Fisher, Kay A Peters, was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 1980. Kay had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2004 - December 31, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
May 11, 1998 - March 24, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 24, 1998 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
July 17, 1995 - March 3, 1998
KFS BD, INC.
July 1, 1993 - July 21, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 27, 1980 - September 17, 1992
DICKINSON & CO.
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
Current Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
