Kathleen Van Der Wal
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 Van Der Wal, who also goes by Kathleen Mary Mclaughlin, Katie Mclaughlin, Kathleen Mclaughlin Van Der Wal, Kathleen Mclaughlin Van Der Wal, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1987. Kathleen had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
August 2, 2016 - June 5, 2018
TRAN CAPITAL MANAGEMENT, L.P.
April 28, 2016 - June 5, 2018
FORESIDE FUNDS DISTRIBUTORS LLC
February 4, 2011 - April 14, 2015
BANCWEST INVESTMENT SERVICES, INC.
February 4, 2011 - April 14, 2015
BANCWEST INVESTMENT SERVICES, INC.
July 27, 2010 - November 3, 2010
SECURITY RESEARCH ASSOCIATES, INC.
January 26, 2006 - August 11, 2008
CHARLES SCHWAB & CO., INC.
May 19, 1999 - May 18, 2004
CHARLES SCHWAB & CO., INC.
July 8, 1987 - March 16, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
TRAN CAPITAL MANAGEMENT, L.P.
CRD#: 107049 / SEC#: 801-9747
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
TRAN CAPITAL MANAGEMENT, L.P.
CRD#: 107049 / SEC#: 801-9747
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 329 |
| AUM (Assets Under Management) | $ 958,743,001 |
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.
