Kathleen H. Rasmussen
Professional summary
Kathleen Hatleli Rasmussen, who also goes by Kathleen Renee Hatleli, Kathy Hatleli, Kathleen Renee Rasmussen, Kathy Rasmussen, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Portland, Oregon.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1996. Kathleen has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Hatleli Rasmussen's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2019 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 10220 Sw Greenburg Rd, Ste 380, Portland, OR 97223November 12, 2019 - December 31, 2024
PAULSON INVESTMENT ADVISORS, LLC
November 6, 2019 - December 10, 2020
PAULSON INVESTMENT COMPANY LLC
May 20, 2015 - November 5, 2019
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 1, 2015 - April 10, 2015
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 1, 2015 - November 5, 2019
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
December 16, 2013 - December 31, 2013
PHILLIPS & COMPANY
December 16, 2013 - April 17, 2015
PHILLIPS AND COMPANY ADVISORS LLC
June 1, 2012 - April 17, 2015
PHILLIPS & COMPANY
September 29, 2006 - July 2, 2010
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 2, 2010
RBC CAPITAL MARKETS, LLC
January 27, 2000 - March 9, 2002
SUTRO & CO. INCORPORATED
September 5, 1996 - January 1, 1999
WAMU INVESTMENTS, 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
(11/6/2019)
Exams
Series 52TO
Date: 9/23/2025
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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