Kathleen A. Pelletier
Professional summary
Kathleen A Pelletier, who also goes by Kathleen Ann Pelletier, is a registered financial professional currently at INLAND SECURITIES CORPORATION located in Oak Brook, Illinois.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1993. Kathleen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen A Pelletier's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2015 - Present
INLAND SECURITIES CORPORATION
Office #1: 2901 Butterfield Road, Oak Brook, IL 60523April 20, 2010 - January 16, 2015
NORTHSTAR SECURITIES, LLC
July 3, 2007 - July 1, 2008
EQUITABLE DISTRIBUTORS, LLC
December 19, 2005 - July 12, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - July 12, 2007
FRANKLIN DISTRIBUTORS, LLC
November 2, 2005 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
February 13, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
June 20, 1996 - January 29, 2004
DWS DISTRIBUTORS, INC.
November 23, 1994 - May 22, 1996
INVESCO CAPITAL MARKETS, INC.
June 21, 1993 - October 5, 1994
FIRST TRUST PORTFOLIOS 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
(3/17/2023)
Exams
FINRA
Current Firm
INLAND SECURITIES CORPORATION
CRD#: 15807 / SEC#: , 8-32775
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INLAND REAL ESTATE INVESTMENT CORPORATION | CORPORATION | |
| CHERESO, ANTHONY JOSEPH | DIRECTOR | 5289928 |
| HRTANEK, CATHLEEN MAY-ORBAN | DIRECTOR | 7886681 |
| KASPRZAK, DAVID EDWARD | PRINCIPAL, EXECUTIVE VICE PRESIDENT | 2651202 |
| LYNCH, CATHERINE LYNN | CHIEF FINANCIAL OFFICER & DIRECTOR | 2584621 |
| TUCEK, AMY CATHERINE | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2021342 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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