Kathleen S. Haskin
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 Sue Haskin, who also goes by Kathleen Sue Mallari, Kathleen Mallari, Kathy Mallari, 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 99TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2014 - June 1, 2026
CARY STREET PARTNERS
December 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 ExaminationCurrent 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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