Kathleen M. O'dowd
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 M O'dowd, who also goes by Kathleen Odowd Murray, Kathleen Odowd, Kathleen Michelle Wineland, Kathleen Odowd Wineland, Kathy Wineland, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1992. Kathleen 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
May 3, 2013 - June 27, 2014
THE PLANNED APPROACH
September 7, 2006 - April 12, 2013
SUNSET FINANCIAL SERVICES, INC.
August 29, 2006 - April 12, 2013
SUNSET FINANCIAL SERVICES, INC.
February 9, 2000 - August 25, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 7, 1997 - August 25, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 23, 1996 - January 14, 1997
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
September 1, 1995 - December 23, 1996
DAIN RAUSCHER INCORPORATED
December 7, 1992 - September 8, 1995
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE PLANNED APPROACH
CRD#: 166638 / SEC#: 801-77739
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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