Kathleen Wilson
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 Wilson was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2015 - December 19, 2016
LEGEND SECURITIES, INC.
October 14, 1997 - March 24, 2014
OPPENHEIMER & CO. INC.
August 4, 1997 - August 21, 1997
JWGENESIS SECURITIES, INC.
January 10, 1994 - July 7, 1997
OPPENHEIMER & CO. INC.
July 6, 1993 - January 7, 1994
ADLER COLEMAN & CO., INC.
September 16, 1987 - July 21, 1993
AMERICAN SECURITIES BD CO., L.P.
June 9, 1987 - September 21, 1987
HAMERSHLAG, DODELES & CO., LLC
October 1, 1985 - February 25, 1986
GRUNTAL & CO., L.L.C.
November 8, 1984 - October 1, 1985
JII SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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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