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KW

Kathleen M. Willich

Some features on this profile are disabled
CRD#: 1205951
KW

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 Marie Willich, who also goes by Kathleen Marie Schreiber, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1994. Kathleen had worked at 3 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen Marie Schreiber

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 20, 1996 - May 18, 2012

CROWELL, WEEDON & CO.

BD
CRD#: 193
NEWPORT BEACH, CA
Past

May 23, 1996 - September 24, 1996

CANTERBURY CONSULTING INCORPORATED

BD
CRD#: 22875
NEWPORT BEACH, CA
Past

April 5, 1994 - September 26, 1995

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/4/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CW
CROWELL, WEEDON & CO.
CROWELL, WEEDON & CO.

CRD#: 193 / SEC#: 801-67246, 8-3710

BD
Terminated by SEC on 02/07/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/18/1932
Firm type
Partnership
Fiscal year end
April
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/29/2013)
WRAP FEE BROCHURE (7/29/2013)

Direct owners and executive officers

NamePositionCRD#
AMES, RALPH HERBERTGENERAL PARTNER4399
BELLESILES, JACQUES ERNESTGENERAL PARTNER17599
BLAND, DAVID LEEGENERAL PARTNER1099854
CARLSON, RODNEY CHARLESGENERAL PARTNER2285986
CHRISTOPHER, DOUGLAS ANDREAGENERAL PARTNER1995432
COUNCIL, WILLIAM MICHAELGENERAL PARTNER848504
CRONK, JAMES LEEGENERAL PARTNER/COO1104799
CROWELL, ANDREW EDWARDGENERAL PARTNER/CEO1288101
CROWELL, DONALD WARREN JRGENERAL PARTNER1320520
DOUD, CHARLES OREILLYGENERAL PARTNER70836
DOUD, THOMAS JOSEPHGENERAL PARTNER2758142
DOUGHERTY, JAMES WEAVERGENERAL PARTNER1620921
DOYEL, DENNIS MICHAELGENERAL PARTNER1789529
FUNG, EDDIE SHUGENERAL PARTNER2622816
GINSBERG, KLINDT EMILGENERAL PARTNER1846752
GRIFFIN, ALAN MILESGENERAL PARTNER853835
GROSSMAN, ALAN JAYGENERAL PARTNER1225441
HALES, JOHN MORRISGENERAL PARTNER233868
HARRIS, ROBERT CARROLLGENERAL PARTNER1083781
HASSAN, ROBERT HARRISGENERAL PARTNER833059
HOOD, THOMAS JAMESGENERAL PARTNER1297995
JACKSON, STEVEN CHARLESGENERAL PARTNER1358825
KARANTONIS, ANTONIOSGENERAL PARTNER / CFO2331154
KRUGER, JAMES ROYGENERAL PARTNER/CHIEF COMPLIANCE OFFICER1171805
KURATOMI, LINDA KEIKOGENERAL PARTNER1258198
MORITZ, THOMAS ANDREWGENERAL PARTNER1864800
MULLIGAN, STEVEN JAMESGENERAL PARTNER2372962
OLEARY, JOSEPH LENNONGENERAL PARTNER2357537
PAULSON, THEODORE RUSSELLGENERAL PARTNER358333
RAGAN, JAMES DARRELLGENERAL PARTNER1513433
REITNOUER, JOHN FREDERICKGENERAL PARTNER1796658
REITNOUER, LYNN PAULGENERAL PARTNER373927
ROBBINS, KENNETH WILLIAMGENERAL PARTNER2588039
SWANSON, SCOTT MICHAELGENERAL PARTNER2198688
THOMAS, DANIEL SCOTTGENERAL PARTNER2195656
TODD, BLAKE TRAMILLGENERAL PARTNER702561
WEST, THOMAS WESLEYGENERAL PARTNER1162385

Disclosures

Regulatory Event19
Arbitration9

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.

Company Information

CROWELL, WEEDON & CO.

CRD#: 193

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