Kathryn M. Cialone
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.
Kathryn M Cialone, CFP®, who also goes by Kathryn M Boyle, Kathryn Mary Boyle, Kathryn Mary Cialone, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1988. Kathryn 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
February 16, 2021 - November 3, 2021
CUNA BROKERAGE SERVICES, INC.
June 13, 2003 - December 21, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
June 9, 1998 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 5, 1990 - April 15, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1989 - October 12, 1990
HASAN GROWNEY CO. INC.
April 13, 1988 - October 4, 1989
KETTLER & COMPANY
January 20, 1988 - February 4, 1988
DUNHILL, LORD & 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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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