Katherine D. Oleson
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.
Katherine Diane Oleson, who also goes by Kathy Lewis, Kathy Oleson, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2008. Katherine had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2023 - January 3, 2025
ZINVEST FINANCIAL SERVICE, LLC
July 24, 2023 - January 3, 2025
VELOX CLEARING LLC
July 14, 2021 - July 17, 2023
CHARLES SCHWAB & CO., INC.
January 20, 2011 - December 31, 2020
TD AMERITRADE CLEARING, INC.
April 14, 2008 - July 17, 2023
TD AMERITRADE, INC.
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
Series 99TO
Date: 7/24/2023
Operations Professional ExaminationCurrent Firm
ZINVEST FINANCIAL SERVICE, LLC
CRD#: 297563 / SEC#: 801-117145, 8-70951
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 23,543,616 |
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.
