Kathleen E. Parker
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 Elise Parker, who also goes by Elise Kathleen Parker, Kathleen E Parker, Kathy Parker, 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, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 1996 - October 1, 1997
GLOBAL STRATEGIES GROUP, INC.
February 28, 1996 - October 1, 1997
GLOBAL STRATEGIES GROUP, INC.
August 17, 1993 - March 5, 1996
STRATEGIC RESOURCE MANAGEMENT, INC.
April 24, 1992 - August 18, 1993
SCHNEIDER SECURITIES, INC.
June 11, 1991 - April 22, 1992
FIRST CHOICE SECURITIES CORP.
November 1, 1988 - June 11, 1991
KOBER FINANCIAL CORP.
August 26, 1988 - November 9, 1988
G. K. SCOTT & CO., INC.
August 18, 1987 - September 1, 1988
CIBC WORLD MARKETS CORP.
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
GLOBAL STRATEGIES GROUP, INC.
CRD#: 27414 / SEC#: , 8-43079
Contact information
Documents
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.
