Kathleen Denise Vannoy-pineda
Professional Summary
Kathleen Denise Vannoy-pineda, who also goes by Kathleen D Van Noy Kim, Kathleen D Vannoy Kim, Kathleen Denise Kim, Kathleen Vannoy Kim, Kathy Kim, Kathleen Denise Vannoy, Kathleen Denise Vannoypineda, was a registered financial advisor. Kathleen was a previously registered financial professional and started their career in finance 1985 - 2019. Kathleen had worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 26...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen D Van Noy Kim, Kathleen D Vannoy Kim, Kathleen Denise Kim, Kathleen Vannoy Kim, Kathy Kim, Kathleen Denise Vannoy, Kathleen Denise Vannoypineda
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
SUMMIT BROKERAGE SERVICES | SUMMIT FINANCIAL GROUP, INC. | SUMMIT BROKERAGE SERVICES, INC.
Contact Information
Established
Florida since 09/03/1993Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | — |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
Regulatory Event
16Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1993About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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