Kathleen S. Haskin
Professional summary
Kathleen Sue Haskin, who also goes by Kathleen Sue Mallari, Kathleen Mallari, Kathy Mallari, is a registered financial professional currently at CARY STREET PARTNERS located in Austin, Texas.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2011. Kathleen has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Sue Haskin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2014 - Present
CARY STREET PARTNERS
Office #1: 7000 N. Mopac Expy Suite 150, Austin, TX 78731December 6, 2013 - January 22, 2014
CARY STREET PARTNERS
November 23, 2011 - January 22, 2014
RIVERSTONE WEALTH MANAGEMENT, 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: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 11/22/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
Red Flags
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