Kathleen L. Hohenshelt
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.
Kathleen Leslie Hohenshelt, who also goes by Kathleen Jones Hohenshaelt, Kathleen Leslie Hohenshaelt, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1981. Kathleen had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2015 - March 18, 2016
VOYA FINANCIAL ADVISORS, INC.
October 21, 2015 - March 18, 2016
VOYA FINANCIAL ADVISORS, INC.
January 18, 2008 - January 20, 2015
MSI FINANCIAL SERVICES, INC.
October 18, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 18, 2005 - January 20, 2015
MSI FINANCIAL SERVICES, INC.
November 11, 2004 - February 14, 2005
OAK TREE SECURITIES, INC.
March 15, 2002 - December 10, 2002
WAMU INVESTMENTS, INC.
January 11, 2001 - July 5, 2001
CHARLES SCHWAB & CO., INC.
December 17, 1999 - December 4, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 22, 1998 - October 25, 1999
SUNAMERICA SECURITIES, INC.
June 5, 1997 - October 13, 1998
CUNA BROKERAGE SERVICES, INC.
August 19, 1996 - June 5, 1997
WELLS FARGO SECURITIES INC.
February 2, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 6, 1995 - February 13, 1996
CHARLES SCHWAB & CO., INC.
December 8, 1993 - August 9, 1995
GLENFED BROKERAGE SERVICES
January 15, 1993 - December 14, 1993
WOODBURY FINANCIAL SERVICES, INC.
July 26, 1991 - December 14, 1992
FIRST LINCOLN INVESTMENTS, INC.
May 6, 1986 - September 22, 1989
TOWER SQUARE SECURITIES, INC.
March 1, 1985 - August 28, 1985
SOUTHMARK FINANCIAL SERVICES, INC.
October 29, 1981 - June 13, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
