Kathleen D. Cefalu
Professional summary
Kathleen Denney Cefalu, who also goes by Kathleen Cefalu, Kathy Cefalu, Kathleen Marie Denney, Kathleen Denney, is a registered financial advisor currently at DOWNTOWN WEALTH STUDIOS, LLC located in Ipswich, Massachusetts.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Kathleen has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Denney Cefalu's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2023 - Present
DOWNTOWN WEALTH STUDIOS, LLC
August 7, 2020 - March 20, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2020 - March 20, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
DOWNTOWN WEALTH STUDIOS, LLC
CRD#: 325213 / SEC#: 801-127415
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/10/2023)
(4/18/2023)
(5/1/2023)
Exams
Series 7TO
Date: 8/7/2020
General Securities Representative ExaminationCurrent Firm
DOWNTOWN WEALTH STUDIOS, LLC
CRD#: 325213 / SEC#: 801-127415
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 634,952,832 |
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.
