Kathleen A. Shave
Professional summary
Kathleen Ann Shave was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kathleen is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Kathleen had worked at 3 firms, which includes ASHTON CAPITAL MANAGEMENT INC., AMERICAN PACIFIC SECURITIES INC., QUICK & REILLY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2000 - January 5, 2009
ASHTON CAPITAL MANAGEMENT, INC.
November 13, 1998 - July 14, 2000
AMERICAN PACIFIC SECURITIES, INC.
July 30, 1990 - October 15, 1998
QUICK & REILLY, INC.
State Registrations and Notice Filings
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Exams
Series 8
Date: 8/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASHTON CAPITAL MANAGEMENT, INC.
CRD#: 26502 / SEC#: , 8-42245
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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