Kathleen J. Bradshaw
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 Joan Bradshaw, who also goes by Kathleen Joan Kolodiej, Kathleen Kolodiej, Kathleen Pawlak, Kathleen Joan Pawlik, Kathleen Joan Pawuk, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 15, 2014
CETERA INVESTMENT ADVISERS LLC
November 10, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 1, 2004 - April 15, 2014
CETERA INVESTMENT SERVICES LLC
February 28, 2003 - September 30, 2004
NATIONAL PLANNING CORPORATION
December 3, 1998 - September 16, 2002
LPL FINANCIAL LLC
August 12, 1996 - September 16, 2002
LPL FINANCIAL LLC
April 6, 1995 - September 9, 1996
CAPITAL BROKERAGE CORPORATION
April 23, 1994 - April 3, 1995
INVEST FINANCIAL CORPORATION
August 7, 1990 - May 5, 1994
MARKETING ONE SECURITIES, INC.
March 10, 1987 - August 10, 1990
INVEST FINANCIAL CORPORATION
March 1, 1983 - March 10, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
