Kathleen M. Thomas
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 Thomas, who also goes by Kathleen M Young Thomas, Kathleen M Young, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1997. Kathleen had worked at 5 firms and has passed the Series 63, SIE, Series 55 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 24, 2016 - October 18, 2016
LOYAL3 SECURITIES INC.
February 11, 2011 - September 10, 2014
STERNE, AGEE & LEACH, INC.
September 4, 2003 - February 14, 2011
NOLLENBERGER CAPITAL PARTNERS INC.
March 9, 2002 - April 22, 2002
RBC CAPITAL MARKETS, LLC
April 16, 1997 - March 9, 2002
SUTRO & CO. 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
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
LOYAL3 SECURITIES INC.
CRD#: 6380 / SEC#: , 8-17277
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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