Kathleen M. Papp
Professional summary
Kathleen Marie Papp, who also goes by Kathleen Marie Papp, Kathleen Marie Varone, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Trinity, Florida.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2018. Kathleen has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Marie Papp's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2024 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
October 17, 2019 - February 18, 2021
LINCOLN INVESTMENT
May 27, 2019 - October 4, 2019
CETERA INVESTMENT ADVISERS LLC
April 4, 2019 - October 4, 2019
CETERA INVESTMENT SERVICES LLC
July 31, 2018 - March 25, 2019
LINCOLN INVESTMENT
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 6TO
Date: 3/26/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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