Kerrie A Doughty-Lloyd
How is this counted?
Counted from the earlier of the person's first job or first state securities exam on their SEC record (currently the Series 63, 65 or 66). The SIE, futures exams and earlier firm registrations are not counted. The count runs to the end of their latest job, or this year if a job is still open. It includes every employer listed, even outside investment work, and any gaps between jobs. The SEC record lists jobs held in about the last 10 years, so jobs that ended before then are not counted. Years are counted by calendar year, so the figure can run up to a year high. This is not a measure of skill or quality.
Contact this advisor
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Services the firm offers
These describe the firm as a whole, not only this advisor.
Experience
35 years since the first job or state securities exam on the SEC record. Counts all jobs listed.
- Index Fund Advisors, Inc.Apr 2023 to now
- Prudent Investors Network, Inc.Feb 2021 to Apr 2023
- Bank of America N.A.Jan 2020 to Feb 2021
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2019 to Feb 2021
- Pruco Securities LLCSep 2019 to Sep 2019
- The Prudential Insurance Company of AmericaSep 2019 to Sep 2019
- Chalice Capital Partners, LLCApr 2019 to Aug 2019
- M Stevens GroupMar 2019 to Sep 2019
- State Street Global ServicesDec 2011 to Mar 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law1991
- Series 66 · Uniform Combined State Law2019
- Series 65 · Uniform Investment Adviser Law2024
State registrations
Registered as an investment adviser representative in 3 states (CA, LA, TX).
Index Fund Advisors, Inc.
Official records
Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- 1128795
- 109143