Kathleen D. O'daly
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 Denise O'daly, who also goes by Kathleen O'daly, Kathy O'daly, Kathleen D Odaly, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2008. Kathleen had worked at 6 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, 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
January 9, 2025 - March 3, 2025
PARALEL DISTRIBUTORS
January 1, 2024 - August 2, 2024
TRADESTATION SECURITIES, INC.
June 26, 2023 - December 4, 2023
DORSEY, WRIGHT & ASSOCIATES, LLC
July 16, 2021 - August 5, 2022
NEURAVEST RESEARCH INC
November 13, 2009 - May 17, 2012
OPPENHEIMER & CO. INC.
November 13, 2009 - May 17, 2012
OPPENHEIMER & CO. INC.
January 29, 2008 - December 2, 2009
UBS FINANCIAL SERVICES INC.
January 8, 2008 - December 2, 2009
UBS FINANCIAL SERVICES 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 7TO
Date: 12/28/2023
General Securities Representative ExaminationCurrent Firm
PARALEL DISTRIBUTORS
CRD#: 316115 / SEC#: , 8-70771
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
