Kathleen E. Smythe
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 Eulo Smythe, who also goes by Kathleen Eulo, Kathleen Smythe, Kathleen Eulo Smythe De Urquieta, Kathleen Smythe De Urquieta, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 6 firms and has passed the Series 63, SIE, Series 79, 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
August 15, 2011 - February 24, 2015
SANDLER, O'NEILL & PARTNERS, L.P.
March 19, 2002 - June 30, 2004
KEEFE, BRUYETTE & WOODS, INC.
March 10, 2000 - March 18, 2002
NATIONAL BANK OF CANADA FINANCIAL INC.
October 1, 1997 - March 2, 2000
BANC OF AMERICA SECURITIES LLC
May 6, 1986 - October 1, 1997
MONTGOMERY SECURITIES
August 29, 1983 - June 27, 1986
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SANDLER, O'NEILL & PARTNERS, L.P.
CRD#: 23328 / SEC#: , 8-40214
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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