Kathleen M. Cuomo
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 Marie Cuomo, who also goes by Kathleen Marie Cuomoficenes, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1979. Kathleen had worked at 3 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1986 - January 18, 2006
GLOBAL ARENA CAPITAL CORP
February 28, 1984 - January 16, 1986
YVES HENTIC & COMPANY INCORPORATED
February 1, 1979 - March 7, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
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 55
Date: 10/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 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.
