Kathleen T. Ives
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 Therese Ives, who also goes by Kate Loughry, Kathleen Therese Loughry, Kathlen Therese Loughry, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1989. Kathleen had worked at 1 firm and has passed the SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2011 - June 6, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
December 15, 1994 - May 22, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 28, 1989 - May 11, 1992
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
