Kathleen Fitzgerald
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 Fitzgerald, who also goes by Kathleen Hughes Fitzgerald, Kathleen Ann Hughes, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2019. Kathleen had worked at 2 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2020 - November 18, 2020
NUVEEN SECURITIES, LLC
August 13, 2019 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 8/13/2019
Operations Professional ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
