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Phyllis D. Kalista

Some features on this profile are disabled
CRD#: 712193
PK

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.

Phyllis Diane Kalista, who also goes by Phyllis Diane Charles, Phyllis D Fosmire, Phyllis Kalista, was a registered financial professional .

Phyllis is a previously registered financial professional and started their career in finance in 1980. Phyllis had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 3, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phyllis Diane Charles | Phyllis D Fosmire | Phyllis Kalista

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)

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

November 3, 2014 - October 12, 2015

HEXT CAPITAL PARTNERS LLC

BD
CRD#: 34040
DALLAS, TX
Past

July 17, 2012 - October 5, 2013

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
KING OF PRUSSIA, PA
Past

February 24, 2012 - June 27, 2012

BLV SECURITIES

BD
CRD#: 35205
KING OF PRUSSIA, PA
Past

February 13, 2009 - January 23, 2012

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
RADNOR, PA
Past

January 7, 2003 - February 13, 2009

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
KING OF PRUSSIA, PA
Past

September 24, 2001 - December 16, 2002

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
BRYN MAWR, PA
Past

February 22, 1991 - October 18, 2001

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

July 16, 1990 - February 13, 1991

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

September 20, 1989 - July 20, 1990

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
OLD GREENWICH, CT
Past

August 25, 1989 - October 14, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 20, 1988 - August 25, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

June 28, 1985 - October 12, 1988

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
Past

January 6, 1982 - July 29, 1985

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

July 24, 1980 - January 14, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
Series 63
Date: 8/7/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 2/3/1983
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 1/14/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/20/1982
Registered Options Principal Examination

Current Firm

HC
HEXT CAPITAL PARTNERS LLC
CJS GROUP, INC. | WHITEROCK CAPITAL GROUP, INC | WHITE ROCK ASSOCIATES LLC | WHITE ROCK ADVISORS, LLC | SOUTHWEST MERCHANT GROUP, INC. | SOUTHWEST MERCHANT GROUP INVESTMENT ADVISORS | HEXT CAPITAL PARTNERS LLC | HEXT CAPITAL GROUP INC

CRD#: 34040 / SEC#: , 8-46198

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

Main Address
5001 Spring Valley Road, Suite 850w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road, Suite 850w, Dallas, TX 75244
Phone number
(214) 535-1573
Established
Texas since 04/04/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HEXT, GREGORY WAYNEMANAGING MEMBER4118468
HEXT, KIMBERLY ACKEROWNER7190546
COOK, STEVEN JAYCHIEF EXECUTIVE OFFICE & CHIEF COMPLIANCE OFFICER53170

Disclosures

Regulatory Event1

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

HEXT CAPITAL PARTNERS LLC

CRD#: 34040

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