Kathleen G. Ashton
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 Grace Ashton, who also goes by Kay Ashton, Kathleen Grace Davidson Mrs, Kathleen Grace Davidson, Kathleen Davidson, Kathleen Grace Matthews, Kathleen Grace Strother Mrs, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2003. Kathleen had worked at 4 firms and has passed the Series 63, SIE 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
August 18, 2020 - October 6, 2020
GLP INVESTMENT SERVICES, LLC
May 21, 2018 - April 1, 2019
W&S BROKERAGE SERVICES, INC.
December 16, 2003 - September 9, 2005
METROPOLITAN LIFE INSURANCE COMPANY
December 16, 2003 - September 9, 2005
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLP INVESTMENT SERVICES, LLC
CRD#: 25450 / SEC#: , 8-41868
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
