Kathleen F. Meyer
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 Foley Meyer, who also goes by Kathleen Foley, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - July 25, 2018
CITY NATIONAL ROCHDALE
December 6, 2012 - July 25, 2018
CNR SECURITIES, LLC
August 27, 2003 - March 6, 2008
UST SECURITIES CORP.
April 4, 2000 - August 31, 2001
UST FINANCIAL SERVICES CORP.
May 1, 1996 - February 15, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1988 - June 26, 1992
LEHMAN BROTHERS INC.
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
July 26, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/15/1979
Registered Representative ExaminationCurrent Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
