Kathy M. Papaleo
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.
Kathy Marie Papaleo, who also goes by Kathy Marie Maehlenbrock, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 2002. Kathy had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2017 - January 10, 2019
DAVID LERNER ASSOCIATES, INC.
April 17, 2013 - February 29, 2016
UBS FINANCIAL SERVICES INC.
April 21, 2003 - April 22, 2013
DAVID LERNER ASSOCIATES, INC.
May 23, 2002 - July 3, 2002
SOURCE CAPITAL GROUP, 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
Series 11
Date: 5/22/2002
Assistant Representative-Order Processing Qualification ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
