Kathleen D. Soto
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 Denise Soto, who also goes by Kathleen Denise Beavers, Kathleen Beavers, Kathleen Beavers Soto, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1994. Kathleen had worked at 5 firms and has passed the Series 66, 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 1, 2017 - July 1, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
September 1, 2017 - July 1, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
September 14, 2010 - August 31, 2016
CITIGROUP GLOBAL MARKETS INC.
August 10, 2010 - August 31, 2016
CITIGROUP GLOBAL MARKETS INC.
January 3, 2002 - August 5, 2010
NORTHERN TRUST SECURITIES, INC.
May 1, 2001 - October 10, 2001
J.P. MORGAN SECURITIES INC.
March 20, 2001 - May 1, 2001
JPMSI
November 13, 2000 - March 19, 2001
J.P. MORGAN SECURITIES INC.
October 6, 1994 - November 20, 1998
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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