Kathleen A. Jaye
Professional summary
Kathleen Ann Jaye, who also goes by Kathleen Ann Gallagher, Kathleen Gallagher Luparello, is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Safety Harbor, Florida.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1993. Kathleen has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ann Jaye's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2025 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 200 Ninth Avenue North Suite 100, Safety Harbor, FL 34695June 28, 2004 - June 10, 2025
ROGAN & ASSOCIATES, INC.
April 26, 2001 - July 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2001 - July 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1996 - December 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1993 - September 29, 1995
SCHRODER & CO. 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
(5/14/2025)
(5/12/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Company Information
J.W. COLE FINANCIAL, INC.
CRD#: 124583Safety Harbor, FL 34695TRUST BUT VERIFY
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