Kathleen L. Strickler
Professional summary
Kathleen Louise Strickler is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Carnegie, Pennsylvania.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1982. Kathleen has worked at 12 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) - BD
Click below to view Kathleen Louise Strickler's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 W Main St Suite 104, Carnegie, PA 15106October 28, 2003 - August 30, 2005
WALNUT STREET SECURITIES, INC.
May 19, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
July 16, 2002 - May 13, 2003
NATCITY INVESTMENTS, INC.
May 8, 2002 - May 30, 2002
CITIZENS SECURITIES, INC.
May 14, 1999 - December 31, 2000
MBSC, LLC
March 30, 1999 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
December 4, 1996 - November 14, 1997
BNY MELLON SECURITIES CORPORATION
November 19, 1989 - May 3, 1990
OSAIC WEALTH, INC.
November 14, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 6, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 6, 1982 - August 16, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 6, 1982 - August 16, 1995
OSAIC FA, 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
(3/7/2024)
(1/8/2024)
(9/3/2013)
(9/3/2013)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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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