Kathleen J. Mcknight
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 Janet Mcknight, who also goes by Kathleen Janet Comstock, Kathleen Janet Sanders, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1982. Kathleen had worked at 6 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
July 23, 1991 - September 25, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 21, 1989 - November 20, 1990
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
June 14, 1988 - May 1, 1989
PACIFIC FIRST SECURITIES, LTD.
October 1, 1986 - May 1, 1989
PACIFIC FIRST SECURITIES, LTD.
September 3, 1986 - October 24, 1986
INVEST FINANCIAL CORPORATION
November 28, 1984 - September 23, 1986
DAIN RAUSCHER INCORPORATED
October 20, 1982 - December 29, 1982
BOETTCHER & COMPANY, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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