Kathleen M. Smith
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 Marie Smith, who also goes by Kathleen Marie Whalen, Whalen, Kathleen Marie Wilson, Kathleen Whalen Wilson, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1993. Kathleen had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2013 - May 25, 2016
LTC INVESTMENT SERVICES, INC.
September 16, 2005 - October 11, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 18, 2004 - September 19, 2005
NATIONAL PLANNING CORPORATION
April 11, 2003 - June 15, 2004
INVESTMENT CENTERS OF AMERICA, INC.
October 26, 1999 - March 28, 2003
NATIONAL PLANNING CORPORATION
August 6, 1998 - October 18, 1999
COMERICA SECURITIES
November 13, 1997 - August 6, 1998
FIRST OF AMERICA SECURITIES, INC.
July 22, 1997 - August 4, 1997
FIRST OF AMERICA SECURITIES, INC.
December 11, 1995 - July 25, 1997
SII INVESTMENTS, INC.
October 10, 1994 - November 1, 1995
FIRST OF AMERICA SECURITIES, INC.
March 5, 1993 - October 11, 1994
NATCITY INSURANCE SERVICES, 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
Exams
Current Firm
LTC INVESTMENT SERVICES, INC.
CRD#: 23750 / SEC#: , 8-40705
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBERT BERIAULT HOLDINGS, INC. | PARENT CORPORATION | |
| BERIAULT, ROBERT HARVEY | BOARD MEMBER, TREASURER, ASSISTANT SECRETARY | |
| PIERCE, BOBBIE JEAN | GENERAL SECURITIES PRINCIPAL | 1011848 |
| SMITH, KATHLEEN MARIE | VICE PRESIDENT | 2190360 |
| WILLIAMS, BRICE JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL, GENERAL SECURITIES PRINCIPAL | 2663962 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
