Kathleen T. Barr
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 Theresa Barr, who also goes by Kathleen Barr, Kathleen B Legrand, Kathleen Barr Legrand, Kathleen Theresa Legrand, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1986. Kathleen had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - February 21, 2012
FORESIDE DISTRIBUTION SOLUTIONS, LLC
February 9, 1998 - October 2, 2009
NATCITY INVESTMENTS, INC.
March 12, 1996 - May 29, 1996
FIFTH THIRD SECURITIES, INC.
June 3, 1994 - July 25, 1995
FIFTH THIRD SECURITIES, INC.
March 11, 1992 - April 28, 1993
SOCIETY INVESTMENTS, INC.
August 1, 1986 - December 5, 1990
BNY MELLON CAPITAL MARKETS, LLC
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
FORESIDE DISTRIBUTION SOLUTIONS, LLC
CRD#: 118787 / SEC#: , 8-53686
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | OWNER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/MANAGER/DIRECTOR/TREASURER | 1341368 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| MOSCARITOLO, SUSAN KALLAI | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2618909 |
| SOMMERS, WESTON | FINANCIAL AND OPERATIONS PRINCIPAL | 5290145 |
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.
