Kathleen T. Baron
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 Talbot Baron, who also goes by Kathleen Elise Baron, Kathleen Elise Talbot, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1986. Kathleen had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
May 17, 2006 - September 6, 2013
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 17, 2006 - July 11, 2017
CLARENDON INSURANCE AGENCY, INC.
January 29, 2001 - June 10, 2005
NEW ENGLAND SECURITIES
March 19, 1986 - December 31, 2000
NEW ENGLAND SECURITIES
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
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
CRD#: 5496 / SEC#: , 8-16198
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | 100% SHAREHOLDER | |
| DAVIS, SCOTT | DIRECTOR | |
| HAYNES, NEIL LEONARD | DIRECTOR | 6405143 |
| HEALY, DAVID JAMES | PRESIDENT & DIRECTOR | 4103309 |
| KALLAS, COLLEEN LOUISE | SECRETARY | 6910605 |
| MURRAY, THOMAS JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1894655 |
| WORMUTH, LAURA MANDOLINI | FINANCIAL/OPERATIONS PRINCIPAL AND TREASURER | 6063656 |
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.
