Kathleen P. Oldfield
Professional summary
Kathleen Patricia Oldfield, who also goes by Kathleen P Oldfield, is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1989. Kathleen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Patricia Oldfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2018 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456October 19, 2010 - March 15, 2017
DWS DISTRIBUTORS, INC.
September 30, 2003 - October 19, 2010
DEAM INVESTOR SERVICES, INC.
March 27, 1992 - November 22, 2002
SEI INVESTMENTS DISTRIBUTION CO.
March 21, 1989 - April 2, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2018)
Exams
FINRA
Current Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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