Kathleen D. Vannoy-pineda
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 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 professional .
Kathleen is a previously registered financial professional and started their career in finance in 1985. Kathleen had worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 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
April 26, 2018 - November 11, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 26, 2018 - November 29, 2022
FIRST ALLIED SECURITIES, INC.
November 7, 2017 - April 1, 2024
CETERA ADVISORS LLC
April 28, 2010 - April 20, 2015
INDEPENDENT ADVISERS GROUP CORP
September 18, 2009 - November 11, 2010
WATERSTONE FINANCIAL GROUP, INC.
September 18, 2009 - November 11, 2010
ASSOCIATED SECURITIES CORP.
September 18, 2009 - November 11, 2011
MUTUAL SERVICE CORPORATION
August 8, 2008 - September 10, 2008
IFMG SECURITIES, INC.
July 21, 2008 - May 4, 2017
LPL FINANCIAL LLC
June 27, 2008 - May 17, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
July 7, 2004 - May 13, 2008
CITIGROUP GLOBAL MARKETS INC.
December 3, 2003 - May 21, 2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 21, 1994 - November 18, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 22, 1988 - December 31, 1995
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 15, 1985 - November 5, 1986
STARFN
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
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 | 16 |
| Arbitration | 5 |
Red Flags
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