Kathleen P. Dunlap
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 Powers Dunlap, who also goes by Kathleen Powers Goodson, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 6, Series 15, Series 3, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2015 - September 7, 2017
KELSON CAPITAL LLC
December 9, 2009 - May 8, 2013
BARCLAYS CAPITAL INC.
September 8, 2008 - November 6, 2009
FIRST DOMINION CAPITAL CORP.
March 7, 2007 - December 11, 2007
SANFORD C. BERNSTEIN & CO., LLC
May 8, 2006 - March 7, 2007
QUASAR DISTRIBUTORS, LLC
July 1, 2004 - December 14, 2004
DEUTSCHE BANK SECURITIES INC.
October 11, 2002 - June 23, 2003
WELLS FARGO INVESTMENTS, LLC
April 30, 2002 - September 9, 2002
NYPPEX, LLC
April 20, 2001 - February 19, 2002
PRIVATETRADE.COM, INC.
January 2, 1996 - September 12, 2000
BLACKROCK EXECUTION SERVICES
February 22, 1993 - January 2, 1996
WELLS FARGO SECURITIES INC.
September 3, 1987 - December 21, 1989
AETNA FINANCIAL SERVICES, INC.
July 10, 1984 - July 31, 1987
KIDDER, PEABODY & CO. INCORPORATED
July 5, 1983 - July 6, 1984
J.P. MORGAN SECURITIES LLC
January 19, 1983 - June 10, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 2
Date: 7/3/1996
Non-Member General Securities ExaminationSeries 15
Date: 6/6/1984
Foreign Currency Options ExaminationCurrent Firm
KELSON CAPITAL LLC
CRD#: 149477 / SEC#: , 8-68147
Contact information
FINRA licenses (17 States and Territories)
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.
