Kathleen C. Shipley
Professional summary
Kathleen C Shipley is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Woodland Hills, California.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2003. Kathleen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen C Shipley's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2013 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 21650 Oxnard Avenue Suite 750, Woodland Hills, CA 91367November 4, 2008 - June 28, 2013
AMERICAN GENERAL DISTRIBUTORS, INC.
December 17, 2007 - September 18, 2008
DIRECTED SERVICES LLC
October 13, 2005 - December 18, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
August 28, 2003 - October 6, 2005
E*TRADE 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
(6/28/2013)
(11/3/2014)
Exams
FINRA
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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