Kathleen A. Yott
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 Annette Yott, who also goes by Kathleen A Davis Yott, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 5 firms and has passed the Series 7, Series 27 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
September 25, 1986 - March 11, 1991
SEOUL SECURITIES, LTD.
October 7, 1985 - October 15, 1986
EMPIRE SECURITIES CORPORATION
September 25, 1985 - October 28, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
August 13, 1985 - October 21, 1985
FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.
January 20, 1984 - June 20, 1985
EMPOWER FINANCIAL SERVICES, INC.
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
SEOUL SECURITIES, LTD.
CRD#: 10925 / SEC#: , 8-28274
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.
