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KS

Kathleen J. Spoonhour

HALEY SECURITIES
Omaha, NE 68114
Some features on this profile are disabled
CRD#: 6057423
KS

Professional summary

Kathleen Joy Spoonhour is a registered financial professional currently at HALEY SECURITIES, INC. located in Omaha, Nebraska.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2012. Kathleen has worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathleen Joy Spoonhour's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 21, 2012 - Present

HALEY SECURITIES, INC.

Office #1: 8712 West Dodge Road Ste. 402, Omaha, NE 68114
BD
CRD#: 104124
Omaha, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/29/2013)
RR
Colorado
(9/16/2019)
RR
Florida
(4/27/2015)
RR
Georgia
(11/3/2021)
RR
Illinois
(7/15/2014)
RR
Iowa
(7/15/2014)
RR
Kansas
(7/15/2014)
RR
Minnesota
(7/29/2015)
RR
Nebraska
(11/21/2012)
RR
North Carolina
(2/14/2017)
RR
Ohio
(10/31/2017)
RR
Virginia
(2/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 8/20/2012
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HALEY SECURITIES, INC.
HALEY LEISMAN SECURITIES, INC. | HALEY SECURITIES, INC.

CRD#: 104124 / SEC#: , 8-52622

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114
Mailing Address
8712 West Dodge Road Ste. 402, Omaha, NE 68114
Phone number
(402) 397-0780
Established
Nebraska since 04/25/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COHOON, CHRISTINE ANGELAPRESIDENT, FINOP, CHIEF FINANCIAL OFFICER5279757
OVERLY, BRIAN JOSEPHCHIEF COMPLIANCE OFFICER, SECRETARY5264831
SHIRLEY H. OVERLY REVOCABLE TRUSTTRUST
BROWN, SHIRLEY OVERLYTRUSTEE OF THE SHIRLEY H. OVERLY REVOCABLE TRUST4391859
BROWN, SHIRLEY OVERLYDIRECTOR4391859

Disclosures

Regulatory Event1

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.

Company Information

HALEY SECURITIES, INC.

CRD#: 104124Omaha, NE 68114

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