Kathryn A. Defosse
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.
Kathryn Ann Defosse, who also goes by Kathryn Defosse, Kathryn Ann Pallone, Kathryn Ann Rogers, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2002. Kathryn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2014 - September 28, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 19, 2014 - September 28, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 2013 - May 28, 2014
LEVEL FOUR FINANCIAL, LLC
September 13, 2013 - May 28, 2014
LEVEL FOUR FINANCIAL, LLC
January 27, 2011 - September 13, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 20, 2010 - September 13, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 7, 2008 - May 20, 2010
LPL FINANCIAL LLC
October 7, 2008 - May 20, 2010
LPL FINANCIAL LLC
August 3, 2007 - August 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2007 - August 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2006 - September 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 17, 2006 - September 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2004 - May 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 16, 2003 - May 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 7, 2002 - May 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
