Kathleen A. Wayner
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 Ann Wayner, who also goes by Kathleen Ann Shannon, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2001. Kathleen had worked at 2 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2005 - March 31, 2023
BOWLING PORTFOLIO MANAGEMENT LLC
September 5, 2001 - March 21, 2005
RENAISSANCE INVESTMENT MANAGEMENT
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 2
Date: 9/12/1994
Non-Member General Securities ExaminationCurrent Firm
BOWLING PORTFOLIO MANAGEMENT LLC
CRD#: 133488 / SEC#: 801-63696
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 786 |
| AUM (Assets Under Management) | $ 554,781,105 |
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.
