Kathleen F. Grow
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 Frances Grow, who also goes by Kathleen Watson Grow, Kathy Grow, Kathleen Frances Watson, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1995. Kathleen had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2011 - December 12, 2014
ARCHER INVESTMENT CORPORATION
August 23, 2010 - October 11, 2011
NATIONAL PLANNING CORPORATION
August 11, 2010 - October 11, 2011
NATIONAL PLANNING CORPORATION
October 31, 2008 - December 31, 2009
1ST GLOBAL ADVISORS INC
October 31, 2008 - December 31, 2009
1ST GLOBAL CAPITAL CORP.
March 22, 2001 - November 3, 2008
MEDALLION ADVISORY SERVICES, LLC
May 25, 1999 - November 3, 2008
MEDALLION INVESTMENT SERVICES, INC.
August 3, 1998 - May 26, 1999
OSAIC WEALTH, INC.
September 5, 1996 - July 31, 1998
SECURITIES SERVICE NETWORK, LLC
January 1, 1996 - September 23, 1996
IFG NETWORK SECURITIES, INC.
September 7, 1995 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ARCHER INVESTMENT CORPORATION
CRD#: 136403 / SEC#: 801-64607
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
ARCHER INVESTMENT CORPORATION
CRD#: 136403 / SEC#: 801-64607
Contact information
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,640 |
| AUM (Assets Under Management) | $ 900,511,000 |
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.
