Kathleen E. Barney
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 Ellen Barney, who also goes by Kathleen Ellen Moran, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2013. Kathleen had worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2013 - November 16, 2016
FIRST CLEARING, LLC
July 12, 2013 - August 12, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 2, 2013 - August 12, 2020
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 12/22/2022
Operations Professional ExaminationCurrent Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
