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KD

Kathleen D. Dean

MGO SECURITIES
Beachwood, OH 44122
Some features on this profile are disabled
CRD#: 6976497
KD

Professional summary

Kathleen Diane Dean, who also goes by Kathleen Diane Walsh, Katie Diane Walsh, is a registered financial professional currently at MGO SECURITIES CORP. located in Beachwood, Ohio.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2018. Kathleen has worked at 1 firm and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen Diane Walsh | Katie Diane Walsh

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 Diane Dean'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

July 6, 2018 - Present

MGO SECURITIES CORP.

Office #1: 24400 Chagrin Blvd Suite 310, Beachwood, OH 44122
BD
CRD#: 37584
Beachwood, OH

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
Ohio
(7/6/2018)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/6/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MGO SECURITIES CORP.
MGO SECURITIES CORP. | MOSKAL KLEIN SECURITIES CORPORATION

CRD#: 37584 / SEC#: , 8-47814

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

Main Address
24400 Chagrin Blvd Suite 310, Beachwood, OH 44122
Mailing Address
24400 Chagrin Blvd Suite 310, Beachwood, OH 44122
Phone number
(216) 771-4242
Established
Ohio since 10/06/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 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#
MOSKAL GROSS ORCHOSKY INC.PARENT COMPANY
GROSS, RONALD SCOTTTREASURER / SECRETARY2564430
MOSKAL, MICHAEL BRADFORDPRESIDENT2026952
ORCHOSKY, PAUL JOSEPHCHIEF COMPLIANCE OFFICER, PFO, POO2264939

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

MGO SECURITIES CORP.

CRD#: 37584Beachwood, OH 44122

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