Kathleen M. Downey
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 Marie Downey, who also goes by Kathleen M Lee, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2006 - December 31, 2019
RIDGEVIEW FINANCIAL SERVICES, L.L.C.
July 31, 1993 - January 18, 2006
CITIGROUP GLOBAL MARKETS INC.
September 20, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
RIDGEVIEW FINANCIAL SERVICES, L.L.C.
CRD#: 141599 / SEC#:
Contact information
Red Flags
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