Kathleen T. Cheevers
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 Therese Cheevers, who also goes by Kathleen Theresa Cheevers, Kathleen Cheevers, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1993. Kathleen had worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - February 11, 2020
PENSERRA SECURITIES, LLC
May 5, 2017 - January 9, 2019
PENSERRA SECURITIES, LLC
June 15, 1994 - May 18, 2017
CHEEVERS & COMPANY, LLC
October 19, 1993 - December 20, 1994
KESSLER ASHER CLEARING L.P.
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
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
