Kathleen G. Coen
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 Gail Coen, who also goes by Kathleen Gail Cunha, 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 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2007 - November 17, 2014
WINSLOW, EVANS & CROCKER, INC.
July 21, 2005 - April 12, 2007
JESUP & LAMONT SECURITIES CORP
June 27, 2002 - July 8, 2005
COBURN & MEREDITH, INC.
February 1, 2000 - November 9, 2001
J.P. MORGAN SECURITIES INC.
March 10, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
May 15, 1992 - March 12, 1999
LEGG MASON WOOD WALKER, INCORPORATED
July 13, 1989 - May 15, 1992
GLEACHER & COMPANY SECURITIES, INC.
January 25, 1983 - September 12, 1988
MCKINLEY ALLSOPP, 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
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
