Kathleen Cawley
Professional summary
Kathleen Cawley is a registered financial professional 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 14A and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Cawley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2023 - Present
ROOSEVELT & CROSS, INCORPORATED
Office #1: One Exchange Plaza 55 Broadway 22nd Fl, New York, NY, 10006April 28, 2021 - December 15, 2022
JP DERIVATIVES, LLC
May 21, 2019 - November 26, 2019
GENTCO TRADING GROUP LP
February 1, 2012 - April 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2005 - December 31, 2011
BANC OF AMERICA SPECIALIST, INC.
November 19, 2003 - March 9, 2005
J.P. MORGAN SECURITIES LLC
September 12, 2002 - March 9, 2005
INSTITUTIONAL DIRECT INC.
June 8, 1998 - September 6, 2002
APEX CLEARING CORPORATION
July 1, 1994 - October 30, 1998
FLEET CLEARING CORPORATION
May 9, 1994 - April 8, 1998
FLEET BROKERAGE SECURITIES, INC.
December 20, 1988 - May 4, 1994
HORNBLOWER FISCHER & CO.
September 1, 1987 - December 13, 1990
EMPIRE BROKERAGE SERVICES, INC.
October 28, 1985 - January 23, 1991
FLEET CLEARING CORPORATION
March 14, 1985 - March 6, 1987
DISCOUNT BROKERS INTERNATIONAL, INC.
September 24, 1984 - February 3, 1987
FLEET BROKERAGE SECURITIES, INC.
July 26, 1984 - September 11, 1984
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 9/8/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 1/3/2003
Limited Representative-Equity Trader ExamSeries 14A
Date: 3/29/2006
Compliance Official Specialist ExamSeries 8
Date: 8/19/1988
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 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 | 4 |
Red Flags
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