Kathleen Cawley
Professional Summary
Kathleen Cawley is a registered financial advisor currently at ROOSEVELT & CROSS, INCORPORATED located in New York, New York. Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1984. Kathleen has worked at 14 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, Series 7TO, SIE, Series 55, Series 3, Series 7, Series 53, Series 9, Series 4, Series 14, Series 24, Series 10, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Years of Experience
42 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Current Firm
ROOSEVELT & CROSS, INCORPORATED
Contact Information
Main Address
140 Broadway 22nd Fl, New York, NY, 10005Mailing Address
140 Broadway 22nd Fl, New York, NY, 10005Phone Number
(212) 344-2500Established
New York since 04/19/1972Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
Regulatory Event
4Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2003Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 14A — Compliance Official Specialist Exam
Passed Mar 2006Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1988SRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Cawley's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
