KM
Kathleen Mccarthy
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CRD#: 6954666
KM
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 Mccarthy, who also goes by Kathleen Capik, Kathleen Geiszler, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2018. Kathleen had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Capik | Kathleen Geiszler
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. EnCorp STEM Teachers Program / 0122-Present / Investment Related: No / 608 Meyer Lane, Suite 204-B 278 Redondo Beach, CA 90278 / EnCorps STEM Fellow / Nonprofit STEM teacher / Hrs. Work Monthly: 16 / Sec Trading Hrs: 4 / EnCorp Fellow, who become Encorp STEM Teachers in high needs schools, are connecting students to real-world math and science career and economic opportunities, preparing the STEM workforce pipeline, and transforming public education statewide. LONETREE ENERGY / 0718-PRESENT / INVESTMENT RELATED: NO /7800 EAST UNION AVE. SUITE 550 DENVER, CO 80237 / HOMEOWNER / ENERGY / HRS WORK MONTHLY: 0 / SEC TRADING HRS: 0 / NOTHING. ALL HOME OWNERS IN THE NEIGHBORHOOD WILL HAVE AN OIL AND GAS LEASE ON THEIR PROPERTY REGARDLESS IF THEY SIGN THE LEASE OR NOT. IF THEY SIGN THE LEASE, THE HOMEOWNER WILL RECEIVE MORE OF A FUTURE PAYMENT FOR THE LEASE IF THERE IS ANY REVENUE ONLY. I SIGNED THE LEASE. Co name: MAD SCIENCE OF COLORADO / emp dates: 0819 TO PRESENT/ INVESTMENT RELATED: NO /address: 8380 ZUNI ST UNIT 105 DENVER, CO 80221/ position: STEM INSTRUCTOR / nature of business: MAD SCIENCE IS A LEADING SCIENCE ENRICHMENT PROVIDER / hrs work monthly: 4 /Sec trading hrs: 1 / duties: A PART TIME INSTRUCTORS TO CONDUCT HANDS ON AFTER SCHOOL PROGRAMS IN VARIOUS SCHOOLS FOR AGES 5-12 OBA Amendment Update: "MAD SCIENCE OF COLORADO" Co name: 4-H STEM AMERICORPS MEMBER COLORADO STATE UNIVERSITY EXTENSION (NON PROFIT)/ emp dates: 0819 TO PRESENT/ INVESTMENT RELATED: NO /address: 4040 CAMPUS DELIVERY FORT COLLINS, CO 80523/ position: STEM INSTRUCTOR / nature of business: NON PROFIT. AMERICORPS STEM TEACHER / hrs work monthly: 20 /Sec trading hrs: 1 / duties: MEMBERS WILL BE SERVING DIRECTLY WITH YOUTH PROVIDING 4-H STEM EDUCATION TO ECONOMICALLY DISADVANTAGED CHILDREN IN OUT-OF -SCHOOL TIME SETTINGS LIKE AFTERSCHOOL, SUMMER PROGRAMS, DAY CAMPS, OVERNIGHT CAMPS, AND COMMUNITY PARTNER EVENTS DURING THE EVENING AND/ OR WEEKENDS. IN ADDITION, THE MEMBER WILL ALSO ENGAGE VOLUNTEERS TO DELIVER STEM PROGRAMMING. POSITIONS ARE CURRENTLY AVAILABLE IN BROOMFIELD COUNTY OBA Amendment Update: "4-H STEM AMERICORPS MEMBER COLORADO STATE UNIVERSITY EXTENSION (NON PROFIT)" Co name: JUICE PLUS / emp dates: 0220 TO PRESENT/ INVESTMENT RELATED: NO /address: 140 CRSCENT DRIVE COLLIERVILLE, TN 38017/ position: SALES / nature of business: HEALTH PRODUCTS /hrs work monthly: 4/Sec trading hrs: 0/ duties: I AM A COLORADO MASTER GARDENER AND A CSU EXTENSION AMERICORPS VOLUNTEER. I WORK WITH IMPLEMENTING TOWER GARDENS. WHILE WORKING WITH THE IMPLEMENTATION, IF APPROVED, I CAN ALSO RECEIVE A COMMISSION FOR IMPLEMENTING AND SELLING THE TOWER GARDENS OBA Amendment Update: JUICE PLUS OBA AMENDMENT UPDATE: 304 WHITE TAIL CIRCLE LLC - ACTIVE / INVESTMENT RELATED - NO / 13865 DOGLEG LANE, BROOMFIELD CO 80023 / LANDLORD - I OWN AND MANAGE A PROPERTY IN KEYSTONE, BRECKENRIDGE, BOULDER, BROOMFIELD, DENNISPORT MASSACHUSETTES AND A 4.65% OWNERSHIP OF FRESENIUS MEDICAL CARE IN GREENSBORO NC./ HOURS PER MONTH: 10 / HOURS DURING SECURITIES TRADING HOURS: 1
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 5, 2021 - December 31, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Westminister, CO
Past
June 27, 2018 - December 31, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Westminister, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
