Kathleen L. Knight
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 L Knight was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2004. Kathleen had worked at 1 firm and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2004 - May 22, 2014
SMITH HAYES FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMITH HAYES FINANCIAL SERVICES CORPORATION
CRD#: 17059 / SEC#: , 8-34980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH HAYES COMPANIES D/B/A SMITH HAYES | PARENT COMPANY | |
| DAVIS, COLLEEN TERESE | VICE PRESIDENT, OPERATIONS | 1274284 |
| DECKER, JOHN LOUIS JR | PRESIDENT, CEO | 2812644 |
| DEWHURST, KATHLEEN ANN | VICE PRESIDENT, HR | 1245164 |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER | 1255071 |
| KERR, JAMES PATRICK | DIRECTOR | 824040 |
| MANN, BRANDON MICHAEL | VICE PRESIDENT OF SALES | 4488207 |
| NELSON, THOMAS STEVEN | DIRECTOR | 1108782 |
| PURPURA, MICHAEL JOSEPH | DIRECTOR | 2095576 |
| SCHAEFER, BOBBY JOHN | CFO / SECRETARY / TREASURER | 5569260 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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