Kathie A. Marouthis
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.
Kathie Ann Marouthis was a registered financial professional .
Kathie is a previously registered financial professional and started their career in finance in 1992. Kathie had worked at 5 firms and has passed the Series 65, Series 63 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
July 18, 2011 - January 24, 2012
DELCO INVESTMENT ADVISORS, LLC
July 26, 1994 - July 1, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
October 4, 1993 - July 11, 1994
FIDELITY BROKERAGE SERVICES LLC
January 15, 1992 - September 17, 1993
IDS LIFE INSURANCE COMPANY
January 15, 1992 - September 17, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DELCO INVESTMENT ADVISORS, LLC
CRD#: 155898 / SEC#: 801-72041
Contact information
Red Flags
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