Kathleen M. Bellucci
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 Mary Bellucci, who also goes by Kathleen Mary Broglia, Broglia, was a registered financial advisor .
Kathleen is a previously registered financial advisor and started their career in finance in 1987. Kathleen had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2010 - December 22, 2010
SMART MONEY MATTERS LLC
March 25, 2009 - January 4, 2010
STONEHURST SECURITIES, INC.
January 10, 2008 - May 21, 2009
RETIREMENT DEPOT
December 20, 2007 - January 4, 2010
STONEHURST SECURITIES, INC.
June 28, 2006 - December 19, 2007
MERRIMAC CORPORATE SECURITIES, INC.
September 13, 2005 - June 27, 2006
MML INVESTORS SERVICES, LLC
March 31, 2004 - August 16, 2005
A. G. EDWARDS & SONS, INC.
August 6, 2003 - November 3, 2003
SUNAMERICA SECURITIES, INC.
May 12, 2003 - August 8, 2003
ONEAMERICA SECURITIES, INC.
August 7, 2001 - October 31, 2002
PRINCIPAL SECURITIES, INC.
May 21, 1987 - April 4, 1988
JOSEPH P. MCGIVNEY AND ASSOCIATES, 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
No current employment
Red Flags
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