Kathryn E. Mendivil
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 Elaine Mendivil, who also goes by Kathy Mendivil, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1985. Kathryn had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - May 19, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
February 4, 2015 - April 22, 2016
ADL GLOBAL CAPITAL
June 16, 2014 - February 23, 2015
VANDERBILT ADVISORY SERVICES
April 10, 2014 - February 23, 2015
VANDERBILT SECURITIES, LLC
July 18, 2013 - February 28, 2014
U.S. FINANCIAL INVESTMENTS, INC.
March 6, 2012 - July 26, 2013
CETERA INVESTMENT ADVISERS LLC
February 8, 2012 - July 26, 2013
CETERA FINANCIAL SPECIALISTS LLC
August 28, 2009 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
March 19, 2009 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
September 25, 2008 - March 26, 2009
U.S. FINANCIAL INVESTMENTS, INC.
May 1, 2003 - June 3, 2008
U.S. FINANCIAL INVESTMENTS, INC.
February 21, 2001 - June 25, 2003
U.S. SECURITIES & FUTURES CORP.
December 1, 1994 - March 2, 2001
SIMON SECURITIES, INC.
April 6, 1992 - March 21, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
February 7, 1991 - April 10, 1992
UBS FINANCIAL SERVICES INC.
July 3, 1985 - February 11, 1991
CITIGROUP GLOBAL MARKETS INC.
February 21, 1985 - July 1, 1985
BOETTCHER & COMPANY, INC.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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