Kathleen M. Anson
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 M Anson, who also goes by Kathleen Marie Anson, Kathy M Anson, Kathy Anson, Kathleen Marie Norris, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1992. Kathleen had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2023 - March 20, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
January 19, 2023 - March 20, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
March 24, 2021 - March 15, 2022
CUSO FINANCIAL SERVICES, L.P.
March 24, 2021 - March 15, 2022
CUSO FINANCIAL SERVICES, L.P.
April 26, 2019 - March 12, 2021
CETERA INVESTMENT ADVISERS LLC
April 26, 2019 - March 12, 2021
CETERA INVESTMENT SERVICES LLC
June 12, 2018 - April 24, 2019
PRUCO SECURITIES, LLC.
June 5, 2018 - April 24, 2019
PRUCO SECURITIES, LLC.
February 27, 2018 - June 1, 2018
TD AMERITRADE, INC.
February 26, 2018 - June 1, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - June 1, 2018
TD AMERITRADE, INC.
January 26, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 11, 2016 - February 26, 2018
SCOTTRADE, INC.
September 8, 2015 - July 8, 2016
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
September 8, 2015 - July 8, 2016
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
September 10, 2012 - September 9, 2015
LPL FINANCIAL LLC
September 10, 2012 - September 9, 2015
LPL FINANCIAL LLC
January 27, 2000 - September 13, 2012
CHARLES SCHWAB & CO., INC.
September 27, 1993 - September 13, 2012
CHARLES SCHWAB & CO., INC.
May 8, 1992 - September 9, 1993
WAMU INVESTMENTS, INC.
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 8
Date: 2/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
