Kathy L. Finke
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.
Kathy Lynn Finke, who also goes by Kathy Lynn Christensen, Kathy Christensen Finke, Kathy Lynn Finke, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1986. Kathy had worked at 7 firms and has passed the Series 99TO, SIE, Series 7, Series 53, Series 8 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
April 5, 2011 - December 22, 2023
FIRST NATIONAL CAPITAL MARKETS
November 6, 2009 - November 5, 2010
WELLS FARGO SECURITIES, LLC
June 21, 2001 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 23, 1995 - July 11, 2000
LPL FINANCIAL LLC
April 13, 1992 - November 21, 1995
WALL STREET ACCESS
July 19, 1990 - March 25, 1992
AFFILIATED FINANCIAL SERVICES, INC.
March 20, 1986 - November 27, 1989
ROBERT E. SCHWESER COMPANY INCORPORATED
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 ExaminationSeries 8
Date: 10/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST NATIONAL CAPITAL MARKETS
CRD#: 115920 / SEC#: 801-71101, 8-53514
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
| Regulatory Event | 2 |
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.
