Kathleen J. Eggman
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 Joy Eggman, who also goes by Kathleen Hermann, Kathleen J Jens, Kathleen Joy Jens, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1999. Kathleen had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
December 2, 2022 - May 1, 2024
ENCOMPASS MORE ASSET MANAGEMENT LLC
May 10, 2019 - December 16, 2020
VERITY ASSET MANAGEMENT
May 9, 2019 - December 16, 2020
VERITY INVESTMENTS, INC.
January 6, 2012 - July 25, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - July 25, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 5, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 11, 1999 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
ENCOMPASS MORE ASSET MANAGEMENT LLC
CRD#: 322382 / SEC#: 801-126102
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
ENCOMPASS MORE ASSET MANAGEMENT LLC
CRD#: 322382 / SEC#: 801-126102
Contact information
SEC notice filing (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,025 |
| AUM (Assets Under Management) | $ 581,910,000 |
Red Flags
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