Kathy V. Neubauer
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 Violet Neubauer was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1998. Kathy had worked at 3 firms and has passed the Series 63 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2019 - January 31, 2020
GLENDALE SECURITIES, INC.
October 23, 2018 - June 3, 2019
PAULSON INVESTMENT COMPANY LLC
September 17, 1998 - September 30, 2015
PENNALUNA & COMPANY
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
Series 28
Date: 9/12/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GLENDALE SECURITIES, INC.
CRD#: 123649 / SEC#: , 8-65604
Contact information
FINRA licenses (47 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
