Kathleen M. Svrcek-hetfield
Professional summary
Kathleen M Svrcek-hetfield, who also goes by Kathleen Marie Svrcek, is a registered financial advisor currently at MCNALLY FINANCIAL SERVICES CORPORATION located in Flint, Michigan.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1989. Kathleen has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen M Svrcek-hetfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2019 - Present
MCNALLY FINANCIAL SERVICES CORPORATION
Office #1: 2483 Linden Rd Suite 210, Flint, MI 48532July 10, 2017 - September 23, 2019
IFS SECURITIES
March 10, 2015 - May 13, 2015
SB ADVISORY, LLC
March 9, 2015 - May 13, 2015
IFS SECURITIES
May 9, 2014 - December 22, 2014
B. RILEY WEALTH MANAGEMENT
March 7, 2014 - December 22, 2014
B. RILEY WEALTH MANAGEMENT
October 12, 2010 - March 21, 2014
RAYMOND JAMES & ASSOCIATES, INC.
May 5, 2006 - March 21, 2014
RAYMOND JAMES & ASSOCIATES, INC.
December 16, 2002 - March 1, 2005
MORGAN STANLEY DW INC.
December 6, 1994 - May 10, 2006
MORGAN STANLEY DW INC.
December 3, 1992 - December 19, 1994
WORLD INVEST CORPORATION
June 29, 1989 - December 21, 1992
UBS FINANCIAL SERVICES INC.
April 18, 1989 - July 10, 1989
THOMSON MCKINNON SECURITIES 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
(9/17/2020)
Exams
FINRA
Current Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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Company Information
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196Flint, MI 48532TRUST BUT VERIFY
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