Kathleen A. Boyce
Professional summary
Kathleen Anne Boyce, who also goes by Kathy Boyce, Kathleen Anne Clark, Kathleen Clark, Kathy Clark, Kathleen Anne Mcqueen, is a registered financial professional currently at CNL SECURITIES CORP. located in Orlando, Florida.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1999. Kathleen has worked at 15 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Anne Boyce's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2022 - Present
CNL SECURITIES CORP.
Office #1: 450 South Orange Avenue, Orlando, FL 32801February 17, 2021 - May 3, 2021
GREENTIGER SECURITIES LLC
December 10, 2020 - February 2, 2022
FIRST AVENUE
October 18, 2020 - January 25, 2022
HEALTHCARE COMMUNITY SECURITIES CORP.
July 31, 2020 - October 15, 2020
D. BORAL CAPITAL
July 28, 2020 - February 27, 2021
CHERRY TRADING
May 5, 2020 - January 27, 2022
JUSTLY MARKETS LLC
March 31, 2020 - January 24, 2022
ALLIANT EQUITY INVESTMENTS, LLC
January 8, 2019 - February 7, 2020
G. A. REPPLE & COMPANY
July 23, 2015 - January 4, 2019
CNL SECURITIES CORP.
May 4, 2012 - June 30, 2015
RUGGIE WEALTH MANAGEMENT
June 17, 2010 - June 12, 2015
PURSHE KAPLAN STERLING INVESTMENTS
October 21, 2008 - October 7, 2009
LPL FINANCIAL LLC
April 30, 2008 - September 29, 2008
JESUP & LAMONT SECURITIES CORP
May 17, 2006 - September 29, 2008
EMPIRE FINANCIAL GROUP, INC.
July 28, 2003 - October 21, 2005
LPL FINANCIAL LLC
June 17, 1999 - January 6, 2001
SECURITIES AMERICA, 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
(1/28/2022)
(1/28/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CNL SECURITIES CORP.
CRD#: 10356 / SEC#: , 8-26901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory Event | 1 |
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