Kathleen C. Buys
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 Carr Buys was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1989. Kathleen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
January 1, 1999 - October 5, 2006
BUYS AND CO INC
June 24, 1998 - May 21, 2015
LPL FINANCIAL LLC
April 10, 1995 - May 21, 2015
LPL FINANCIAL LLC
August 3, 1994 - October 30, 1995
FSC SECURITIES CORPORATION
August 25, 1993 - May 11, 1995
CHASE INVESTMENT SERVICES CORP.
July 31, 1993 - September 16, 1993
CITIGROUP GLOBAL MARKETS INC.
July 18, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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