Kathleen Piaggesi
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 Piaggesi was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1968. Kathleen had worked at 8 firms and has passed the Series 63, Series 3, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - December 31, 2018
K/A/P PLANNING ADVISORY
May 20, 1986 - December 31, 1993
NATHAN & LEWIS SECURITIES, INC.
August 14, 1984 - June 4, 1986
FINANCIAL FIRST SECURITIES, INC.
February 17, 1982 - August 20, 1984
E. F. HUTTON & COMPANY INC
February 23, 1979 - February 9, 1982
MOSELEY SECURITIES CORPORATION
November 3, 1978 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
August 3, 1973 - December 6, 1978
BUTCHER & SINGER INC.
May 20, 1968 - August 3, 1973
BUTCHER & SCHERRERD
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 000
Date: 2/21/1966
General Securities Principal ExaminationSeries 1
Date: 2/21/1966
Registered Representative ExaminationCurrent Firm
K/A/P PLANNING ADVISORY
CRD#: 128389 / SEC#:
Contact information
Red Flags
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