Mary C. Barnhart
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.
Mary Catherine Donohue Barnhart, who also goes by Kate Barnhart, Mary Catherine Donohue, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 4 firms and has passed the SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - October 6, 2016
FOOTHILL SECURITIES, INC.
September 4, 2009 - April 29, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 15, 2000 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 12, 1982 - September 13, 2000
WOODBURY FINANCIAL SERVICES, 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
Series 2
Date: 4/15/1977
Non-Member General Securities ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
