Kathleen A. Dagley
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 Anne Dagley, who also goes by Kathy Dagley, Kathleen Anne Dags, Kathleen Anne Mcnally, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1991. Kathleen had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2005 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 7, 2005 - November 5, 2018
OSAIC FA, INC.
September 1, 1995 - August 5, 2005
VOYA FINANCIAL PARTNERS, LLC
December 9, 1993 - June 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1991 - May 7, 1993
AETNA LIFE INSURANCE AND ANNUITY 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
Series 2
Date: 4/22/1982
Non-Member General Securities ExaminationCurrent Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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