Kathryn A. Heily
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.
Kathryn Ann Heily, who also goes by Kathryn A Heily, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1969. Kathryn had worked at 5 firms and has passed the Series 63, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2001 - September 24, 2002
CNS DISTRIBUTORS, INC.
February 1, 2000 - June 16, 2000
J.P. MORGAN SECURITIES INC.
October 9, 1986 - February 1, 2000
HAMBRECHT & QUIST LLC
September 26, 1978 - August 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 1/31/1969
Registered Representative ExaminationCurrent Firm
CNS DISTRIBUTORS, INC.
CRD#: 43607 / SEC#: , 8-50340
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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