Kathy Halvey
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.
Kathy Halvey was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1997. Kathy had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2005 - August 26, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
December 14, 2005 - August 26, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
May 1, 2002 - December 31, 2005
HARRISDIRECT LLC
March 4, 2002 - December 31, 2005
HARRISDIRECT LLC
February 23, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
February 23, 2001 - May 24, 2002
AMERITAS INVESTMENT COMPANY, LLC
October 27, 1997 - February 2, 2001
IFMG 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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