Kathleen V. Hastings
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 Verie Hastings, who also goes by Kathe Hastings, Kathleen Mack Hastings, Kathleen Mackverie Hastings, Kathleen Veriemack Hastings, Kathleen Verie Mack, Kathleen Veriemack, 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 65, Series 63 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
June 16, 2004 - January 22, 2020
FBB CAPITAL PARTNERS
July 24, 1997 - May 4, 2004
CHARLES SCHWAB & CO., INC.
March 11, 1997 - May 4, 2004
CHARLES SCHWAB & CO., INC.
October 10, 1994 - March 6, 1997
IDS LIFE INSURANCE COMPANY
October 10, 1994 - March 6, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 1993 - January 24, 1994
THE ADVISORS GROUP, INC.
September 10, 1991 - July 6, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
April 18, 1991 - September 26, 1991
CHARLES SCHWAB & CO., INC.
February 26, 1991 - March 21, 1991
IDS LIFE INSURANCE COMPANY
February 26, 1991 - March 21, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 1989 - July 5, 1990
STEIN ABBOTT AND COMPANY INC.
October 20, 1987 - January 13, 1988
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
FBB CAPITAL PARTNERS
CRD#: 108967 / SEC#: 801-57836
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
FBB CAPITAL PARTNERS
CRD#: 108967 / SEC#: 801-57836
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 2,161,443,887 |
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.
