Kathleen A. Deines
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 Ann Deines, who also goes by Kathleen Ann Deines, Kathleen Deines, Kate Ann Deines, Kate Ann Krieger, Kathleen Krieger, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2017. Kathleen had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2019 - July 26, 2021
ELLEVEST
June 26, 2017 - August 30, 2019
ARNERICH MASSENA, INC.
Primary Firm SEC Registration
ELLEVEST
CRD#: 175476 / SEC#: 801-106683
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
ELLEVEST
CRD#: 175476 / SEC#: 801-106683
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 1,012,582,923 |
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.
