Kathleen S. Bye
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 Shirley Bye, who also goes by Kathleen S Bye, Kathleen Shirley Bye, Kathleen Bye, Kathleen Shirley Bye-cooper, Kathy Bye-cooper, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1985. Kathleen had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2020 - September 29, 2023
THE LEADERS GROUP, INC.
August 1, 2008 - July 1, 2020
NATIONWIDE SECURITIES, LLC
May 3, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 21, 1985 - June 6, 2007
NATIONWIDE SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
