Kathleen Welsh
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 Welsh, who also goes by Kate Bores, Kathleen Katie Bores, Kate Wells, Kate Welsh, Kathleen Katie Welsh, Katie Welsh, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1997. Kathleen had worked at 10 firms and has passed the Series 63, SIE, 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
March 21, 2014 - November 23, 2015
CORINTHIAN PARTNERS, L.L.C.
October 1, 2012 - August 8, 2013
J.P. MORGAN SECURITIES LLC
February 17, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 27, 2010 - December 12, 2011
HSBC SECURITIES (USA) INC.
November 28, 2005 - October 22, 2007
CHASE INVESTMENT SERVICES CORP.
February 25, 2000 - July 17, 2001
QUICK & REILLY, INC.
June 16, 1998 - March 16, 2000
CIBC WORLD MARKETS CORP.
March 13, 1998 - March 26, 1999
MONTROSE CAPITAL MANAGEMENT LTD.
March 5, 1998 - March 19, 1998
MORGAN STANLEY DW INC.
September 19, 1997 - November 21, 1997
GLENN MICHAEL FINANCIAL, INC.
April 3, 1997 - September 19, 1997
WINCHESTER INVESTMENT SECURITIES, 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
CORINTHIAN PARTNERS, L.L.C.
CRD#: 38912 / SEC#: , 8-48461
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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