Kathleen M. Koch
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 Marie Koch, who also goes by Kathleen Marie Koch, Kathleen Marie Mathis, Kathleen Marie VIgnati, Kathleen Vignati, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2007. Kathleen had worked at 7 firms and has passed the Series 66, SIE 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
April 4, 2019 - July 17, 2019
SUMMIT BROKERAGE SERVICES, INC.
November 11, 2015 - November 8, 2016
INVESTORS CAPITAL CORP.
October 28, 2015 - July 17, 2019
CETERA WEALTH SERVICES, LLC
October 28, 2015 - July 17, 2019
CETERA INVESTMENT SERVICES LLC
October 28, 2015 - July 17, 2019
CETERA FINANCIAL SPECIALISTS LLC
October 28, 2015 - July 17, 2019
CETERA ADVISORS LLC
October 28, 2015 - July 17, 2019
CETERA WEALTH SERVICES, LLC
December 16, 2013 - November 3, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 2007 - November 3, 2015
AMERIPRISE FINANCIAL SERVICES, 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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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