Kathleen S. Smith
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 Shelton Smith, who also goes by Kathy Smith, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1992. Kathleen had worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1992 - January 25, 2021
RENAISSANCE CAPITAL INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RENAISSANCE CAPITAL INVESTMENTS, INC.
CRD#: 29641 / SEC#: , 8-44444
Contact information
Documents
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.
