Cathy L. Kjellsen
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.
Cathy Lynn Kjellsen, who also goes by Cathy Moyer Lock, Cathy Lynn Moyer, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1988. Cathy had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2020 - June 7, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
January 2, 2015 - August 30, 2018
ROBERT W. BAIRD & CO. INCORPORATED
April 16, 2014 - August 30, 2018
ROBERT W. BAIRD & CO. INCORPORATED
July 31, 1993 - October 4, 1993
CITIGROUP GLOBAL MARKETS INC.
October 19, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
CRD#: 119546 / SEC#: , 8-65199
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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