Kathi S. Dye
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.
Kathi Susan Dye, who also goes by Kathleen Susan Dye, Kathleen Wilson, was a registered financial professional .
Kathi is a previously registered financial professional and started their career in finance in 1994. Kathi had worked at 3 firms and has passed the Series 65, Series 63, 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
September 18, 1998 - July 28, 2016
1ST GLOBAL ADVISORS INC
July 22, 1998 - July 27, 2016
1ST GLOBAL CAPITAL CORP.
February 12, 1997 - June 1, 1999
MOMENTUM INDEPENDENT NETWORK INC.
June 16, 1994 - July 21, 1995
MOMENTUM INDEPENDENT NETWORK 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
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
Red Flags
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.
