Kathleen T. Derose
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 Traynor Derose, who also goes by Kathleen T Millard, Kathleen Traynor Millard, Kathleen Traynor, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1994. Kathleen had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - January 2, 2019
FIRST LIBERTIES FINANCIAL
September 1, 2010 - January 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
August 30, 2010 - January 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
July 3, 2008 - January 2, 2009
BATTENKILL CAPITAL, INC.
July 25, 2007 - December 31, 2010
HAGIN INVESTMENT MANAGEMENT
October 21, 2003 - August 29, 2006
BESSEMER INVESTOR SERVICES, INC.
May 31, 1994 - September 2, 2003
DEAM INVESTOR SERVICES, 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
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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