Kathleen M. Alves
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 M. Alves, who also goes by Kathleen M Alves, Kathleen Marie Alves, Kathleen Marie Tighe, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 1994 - April 16, 2025
AMUNDI DISTRIBUTOR US, INC.
April 6, 1993 - December 27, 1993
MFS FUND DISTRIBUTORS, INC.
January 31, 1987 - December 27, 1993
MFS FINANCIAL SERVICES, INC.
May 6, 1985 - December 13, 1988
CFBDS, INC.
December 12, 1983 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
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
AMUNDI DISTRIBUTOR US, INC.
CRD#: 24497 / SEC#: , 8-41256
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
