Kathleen M. Daly
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 Michelle Daly, who also goes by Kathleen Daly Jewett, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 11 firms and has passed the Series 63, 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
August 6, 2013 - November 3, 2017
KMS FINANCIAL SERVICES, INC.
April 15, 2008 - January 13, 2012
ADVANCED EQUITIES, INC.
July 22, 2004 - April 3, 2006
FINANCIAL TELESIS INC
May 17, 1996 - September 8, 2003
GERKEN CAPITAL ASSOCIATES
March 23, 1993 - May 17, 1994
MCLAUGHLIN CAPITAL MARKETS, INC.
January 30, 1991 - April 26, 1991
TAMARON INVESTMENTS, INC.
August 29, 1988 - June 13, 1989
MONARCH SECURITIES, INC.
September 17, 1984 - August 25, 1988
J.P. MORGAN SECURITIES LLC
July 17, 1984 - October 11, 1984
BECKER PARIBAS INCORPORATED
June 27, 1984 - June 29, 1984
LEHMAN BROTHERS INC.
February 23, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 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.
