Kathleen A. Kubiak
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 A Kubiak, who also goes by Kathleen A Pilecki, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2004. Kathleen had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2004 - March 19, 2012
HAROLD C. BROWN & CO., 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
HAROLD C. BROWN & CO., LLC
CRD#: 126589 / SEC#: 801-62111, 8-65897
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHRISTOFERSON, KATHERINE ANN | CEO/MANAGING MEMBER | 1133584 |
| COLLARD, MATTHEW CHARLES | SENIOR VICE PRESIDENT/MEMBER | 3000674 |
| GROGAN, PETER JEROME | SENIOR VICE PRESIDENT/MEMBER | 1073574 |
| KELLY, WILLIAM HUGH | SENIOR VICE PRESIDENT/MEMBER | 1839629 |
| SCHANZLIN, MARY PATRICIA | SENIOR VICE PRESIDENT/MEMBER | 2747880 |
| STAURING, DEBORAH ANN | SENIOR VICE PRESIDENT, MEMBER | 1081156 |
| DAS/HCB INC. | MEMBER | |
| MJP/HCB INC. | MEMBER | |
| PRATT, MICHAEL JOSEPH | SENIOR VICE PRESIDENT/MEMBER | 1206854 |
| BUCK, WINTHROP LAWRENCE | PRESIDENT/TREASURER | 34413 |
| KLUCIK, BARBARA LEIGH | CHIEF COMPLIANCE OFFICER\ FINOP | 708221 |
| MAGUIRE, MAUREEN IRWIN | CHIEF OPERATING OFFICER | 4622355 |
Red Flags
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