Carl A. Feuerbacher
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.
Carl August Feuerbacher JR, who also goes by Hap Feuerbacher, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1982. Carl had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1998 - March 31, 2016
KESTRA INVESTMENT SERVICES, LLC
February 3, 1998 - March 31, 2016
KESTRA INVESTMENT SERVICES, LLC
November 18, 1992 - February 16, 1998
WOODBURY FINANCIAL SERVICES, INC.
May 16, 1988 - October 31, 1991
JOHN HANCOCK DISTRIBUTORS LLC
July 1, 1987 - June 21, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 1, 1987 - June 28, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
October 29, 1982 - July 10, 1986
NYLIFE SECURITIES 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 1
Date: 5/23/1975
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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