Kathleen M. Pinto
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 Pinto, who also goes by Kathleen P Cannova, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 1986 - July 27, 2017
LEMLEY, YARLING & CO.
April 18, 1983 - October 14, 1986
THE CHICAGO CORPORATION
March 1, 1983 - April 25, 1983
WINTRUST INVESTMENTS LLC
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
LEMLEY, YARLING & CO.
CRD#: 18234 / SEC#: , 8-36305
Contact information
FINRA licenses (10 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
