Kathleen W. Leopold
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 Winette Leopold, who also goes by Kathleen W Belcher, Kathleen Leopold, Kathy Winette Leopold, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1999. Kathleen had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 7 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
February 25, 2015 - November 23, 2022
SIGMA FINANCIAL CORPORATION
November 22, 2010 - March 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - March 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 30, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 13, 2005 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
September 3, 2002 - September 15, 2004
B. C. ZIEGLER AND COMPANY
April 10, 2001 - October 4, 2002
BATES SECURITIES, INC.
September 24, 1999 - March 28, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 24, 1999 - March 28, 2001
MSI FINANCIAL SERVICES, 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
Exams
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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