Kathleen Mcquiggan
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 Mcquiggan was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1991. Kathleen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 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
September 6, 2017 - October 1, 2024
ARTEMIS FINANCIAL ADVISORS
April 5, 2010 - June 16, 2017
ALPS DISTRIBUTORS, INC.
December 19, 1996 - May 14, 2009
GOLDMAN SACHS & CO. LLC
July 26, 1991 - December 12, 1996
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARTEMIS FINANCIAL ADVISORS
CRD#: 146203 / SEC#: 801-110255
Contact information
Regulatory assets under management
| Total Number of Accounts | 407 |
| AUM (Assets Under Management) | $ 313,137,747 |
Red Flags
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