Kathleen K. Wambach
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 Kilian Wambach, who also goes by Kathleen Anne Kilian, Kathleen Kilian, Kathleen K Wambach, Kathy Wambach, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 7 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
March 30, 2005 - December 23, 2014
ICBA SECURITIES
March 30, 2005 - July 23, 2020
VINING-SPARKS IBG, LLC
March 26, 1996 - April 4, 2005
HOWE BARNES HOEFER & ARNETT, INC.
October 26, 1993 - May 18, 1995
WILLIAM BLAIR
March 11, 1993 - October 25, 1993
PRINCIPAL FINANCIAL SECURITIES,INC.
April 10, 1990 - February 22, 1993
DAIN RAUSCHER INCORPORATED
May 15, 1986 - January 10, 1990
WILLIAM BLAIR
May 26, 1983 - February 28, 1986
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
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
Red Flags
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