KG
Kamal K. Goel
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CRD#: 7800616
KG
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.
Kamal Kishore Goel was a registered financial professional .
Kamal is a previously registered financial professional and started their career in finance in 2023. Kamal had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
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.
BANKERS LIFE POSITION: Life and Health Insurance Agent NATURE: Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 56 SECURITIES TRADING HOURS: 0 START DATE: 06/27/2023 ADDRESS: 5000 Hopyard Rd, Suit 170, Pleaseanton CA 94588, United States DESCRIPTION: I am a 1099 agent for Bankers Life and Casualty Company (BLC). As a BLC agent, I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC. UNIQUE HEALTH & WEALTH CONSULTANTS PVT LTD INDIA POSITION: Director NATURE: At present no business activity is being done. Office is at present closed. There are no employees there now.Address isUU-11 Vishakha Enclave, Pitampura,Delhi, India - 110034Phone number+1 9871135193While Filling Column 6 above under heading state, It does not allow me to put Indian state in which above company is situated, so I have put California the state where I reside now. Full address is as mentioned in column 7. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/22/2007 ADDRESS: UU-11, Vishakha Enclave, Pitampura, Delhi, India CA 00000, United States DESCRIPTION: This is a health and wealth consultancy company raised in 2007 in India by me and my wife Raksha and later became sub-brokers for trading in stocks and derivative markets in India.After deciding to shift to USA we are in the process of winding up the company In May 2023 we have opted out of sub-brokers duties and literally closed all the activities.I am in the process of closing this company. All activities have been stopped and all requirements for winding up the company is in process
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®
NoneExperience
Past
January 19, 2024 - June 10, 2024
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Pleasanton, CA
Past
September 11, 2023 - June 10, 2024
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
Pleasanton, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 9/9/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
Phone number
(844) 553-9083
Established
Firm type
Fiscal year end
# of Employees
384
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
