Kathleen Marie Asack
Professional Summary
Kathleen Marie Asack, who also goes by Kathleen Marie Connors, was a registered financial advisor. Kathleen was a previously registered financial professional and started their career in finance 1993 - 2012. Kathleen had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen Marie Connors
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
GEMISYS SECURITIES CORPORATION | TCADVISORS NETWORK INC.
Contact Information
Established
Colorado since 12/17/1993Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINN, STEPHEN ANDREW | SHAREHOLDER | 1749769 |
| BIENEMANN, STEVEN JAMES | REGUSTERED PRINCIPAL | 5194856 |
| DYKES, ROBERT ROSCOE | SHAREHOLDER | 6764816 |
| HEBERT, CHESTER JOSEPH | CCO | 1678446 |
| LEIGHT, GARY ALAN | SHAREHOLDER | 6749795 |
| MASSA, MARK WILLIAM | SHAREHOLDER | 6227919 |
| OSTERLUND, PATTY DIANN | SHAREHOLDER | — |
| OSTERLUND, RODNEY WILLIAM | SHAREHOLDER | — |
| PACE, JOSHUA ADAM | SHAREHOLDER | 6576915 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1999Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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