Kathleen A. Nelson
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 Nelson, who also goes by Kathleen Ann Colbert, Kathleen A Nelson, Kathleen Ann Nelson Colbert, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2008. Kathleen had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2010 - July 2, 2013
ZIEGLER CAPITAL MANAGEMENT, LLC
November 5, 2008 - August 18, 2011
B. C. ZIEGLER AND COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
ZIEGLER CAPITAL MANAGEMENT, LLC
CRD#: 135622 / SEC#: 801-64334
Contact information
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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