Kathleen Tsao
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 Tsao, who also goes by Kathy Tsao, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2000. Kathleen had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2011 - December 31, 2012
J.K. FINANCIAL SERVICES, INC.
March 23, 2009 - September 28, 2009
CETERA INVESTMENT SERVICES LLC
August 7, 2007 - September 28, 2009
CETERA INVESTMENT SERVICES LLC
February 27, 2003 - July 20, 2007
NEW ENGLAND SECURITIES
June 19, 2001 - October 7, 2002
PRUCO SECURITIES, LLC.
February 21, 2000 - October 7, 2002
PRUCO SECURITIES, LLC.
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
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
