Kathleen C. Snow
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 Clare Snow, who also goes by Kc Snow, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2011. Kathleen had worked at 2 firms and has passed the Series 66, Series 63, 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
February 13, 2013 - July 25, 2016
TD AMERITRADE, INC.
February 13, 2013 - July 25, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 10, 2011 - July 25, 2016
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
