KW
Kathleen Q. Wishnow
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4993737
KW
Professional summary
Kathleen Quinn Wishnow, who also goes by Kathleen Marie Quinn, Kathleen Quinn, Kathleen Marie Quinn Wishnow, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2005. Kathleen has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Marie Quinn | Kathleen Quinn | Kathleen Marie Quinn Wishnow
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Quinn Wishnow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2011 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
April 22, 2009 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
DOWNERS GROVE, IL
Past
April 13, 2009 - March 23, 2011
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
DOWNERS GROVE, IL
Past
July 24, 2007 - January 27, 2009
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
CHICAGO, IL
Past
July 3, 2007 - March 30, 2009
JANUS HENDERSON INVESTORS
RIA
CRD#: 107300
CHICAGO, IL
Past
September 16, 2005 - February 6, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RIVERWOODS, IL
Past
August 25, 2005 - February 6, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/20/2012)
RR
Alaska(2/28/2012)
RR
Arizona(6/20/2012)
RR
Arkansas(3/31/2011)
RR
California(6/20/2012)
RR
Colorado(6/20/2012)
RR
Connecticut(6/20/2012)
RR
Delaware(6/20/2012)
RR
District of Columbia(6/20/2012)
RR
Florida(6/20/2012)
RR
Georgia(6/20/2012)
RR
Hawaii(6/20/2012)
RR
Idaho(2/28/2012)
RR
Illinois(3/31/2011)
RR
Indiana(6/20/2012)
RR
Iowa(6/20/2012)
RR
Kansas(6/20/2012)
RR
Kentucky(6/20/2012)
RR
Louisiana(3/31/2011)
RR
Maine(6/20/2012)
RR
Maryland(6/20/2012)
RR
Massachusetts(6/20/2012)
RR
Michigan(6/20/2012)
RR
Minnesota(6/20/2012)
RR
Mississippi(6/20/2012)
RR
Missouri(6/20/2012)
RR
Montana(6/20/2012)
RR
Nebraska(6/20/2012)
RR
Nevada(6/20/2012)
RR
New Hampshire(6/20/2012)
RR
New Jersey(6/20/2012)
RR
New Mexico(6/20/2012)
RR
New York(6/20/2012)
RR
North Carolina(6/20/2012)
RR
North Dakota(6/20/2012)
RR
Ohio(6/20/2012)
RR
Oklahoma(3/31/2011)
RR
Oregon(2/28/2012)
RR
Pennsylvania(6/20/2012)
RR
Puerto Rico(6/20/2012)
RR
Rhode Island(6/20/2012)
RR
South Carolina(6/20/2012)
RR
South Dakota(6/20/2012)
RR
Tennessee(6/20/2012)
RR
Texas(3/31/2011)
RR
Utah(6/20/2012)
RR
Vermont(6/20/2012)
RR
Virgin Islands(6/20/2012)
RR
Virginia(6/20/2012)
RR
Washington(2/28/2012)
RR
West Virginia(6/20/2012)
RR
Wisconsin(6/20/2012)
RR
Wyoming(6/20/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
