Kathleen M. Foote
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 Marie Foote, who also goes by Kathleen Marie Hunt, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1982. Kathleen had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2015 - April 18, 2016
FIRST CLEARING, LLC
November 17, 2003 - August 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2002 - August 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
September 12, 2002 - August 6, 2003
MSI FINANCIAL SERVICES, INC.
June 29, 1999 - July 12, 2002
CETERA FINANCIAL SPECIALISTS LLC
January 13, 1998 - July 9, 2002
CAPITAL BROKERAGE CORPORATION
September 22, 1994 - December 3, 1997
CHARLES SCHWAB & CO., INC.
August 27, 1986 - April 15, 1994
MNB BROKERAGE ALTERNATIVE, INC.
February 3, 1982 - February 14, 1982
KKL & CO., INC.
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
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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