Kathleen M. Asack
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 Marie Asack, who also goes by Kathleen Marie Connors, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1993. Kathleen had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2011 - August 1, 2012
TCADVISORS NETWORK INC.
November 14, 2008 - December 17, 2010
CHARLES SCHWAB & CO., INC.
August 14, 2006 - October 28, 2008
FIDELITY BROKERAGE SERVICES LLC
December 19, 1997 - June 14, 2004
CHARLES SCHWAB & CO., INC.
February 10, 1997 - September 23, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
August 15, 1995 - January 8, 1997
BARINGS SECURITIES LLC
September 9, 1994 - October 8, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 9, 1994 - October 8, 1994
SIGNATOR INVESTORS, INC.
September 17, 1993 - May 23, 1994
DETWILER FENTON & CO.
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
Series 8
Date: 7/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TCADVISORS NETWORK INC.
CRD#: 35794 / SEC#: , 8-46909
Contact information
Documents
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 | 2 |
Red Flags
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