Kathleen P. Day
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 Patricia Day, who also goes by Kathleen Patricia Simmons, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1987. Kathleen had worked at 7 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
October 13, 1998 - December 31, 2015
WESTMINSTER FINANCIAL SECURITIES, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - October 15, 1998
OSAIC WEALTH, INC.
July 6, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 8, 1988 - July 18, 1989
RAYMOND JAMES & ASSOCIATES, INC.
April 13, 1988 - October 3, 1988
HUTTOE & ASSOCIATES, INC.
July 20, 1987 - December 31, 2015
THE ENRICHMENT GROUP, INC.
January 21, 1987 - February 10, 1988
SOUTHEAST BANK BROKERAGE SERVICE, 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
Current Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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