Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Cawley is a registered representative with Roosevelt & Cross, Inc.. She is a seasoned financial professional with over three decades of experience in the securities industry. Kathleen has a strong background in various financial products and services, including municipal securities, options, and general securities. She has held principal and supervisory positions at several firms, including JP Derivatives, LLC, Gentco Trading Group LP, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen is dedicated to providing her clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
09/08/2023 - Present
Roosevelt & Cross, Inc. (NEW YORK NY)
NY
04/28/2021 - 12/15/2022
JP DERIVATIVES, LLC (NEW YORK NY)
IL
05/21/2019 - 11/26/2019
GENTCO TRADING GROUP LP (CHICAGO IL)
NY
02/01/2012 - 04/24/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/01/2005 - 12/31/2011
BANC OF AMERICA SPECIALIST, INC. (NEW YORK NY)
NY
11/19/2003 - 03/09/2005
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/12/2002 - 03/09/2005
INSTITUTIONAL DIRECT INC. (NEW YORK NY)
TX
06/08/1998 - 09/06/2002
FLEET SECURITIES, INC. (DALLAS TX)
NY
07/01/1994 - 10/30/1998
FLEET CLEARING CORPORATION (NEW YORK NY)
NY
05/09/1994 - 04/08/1998
FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)
NY
12/20/1988 - 05/04/1994
HORNBLOWER FISCHER & CO. (NEW YORK NY)
NA
10/28/1985 - 01/23/1991
NB CLEARING CORPORATION
NA
09/01/1987 - 12/13/1990
EMPIRE BROKERAGE SERVICES, INC.
NA
03/14/1985 - 03/06/1987
DISCOUNT BROKERS INTERNATIONAL, INC.
NA
09/24/1984 - 02/03/1987
NORSTAR BROKERAGE CORPORATION
NA
07/26/1984 - 09/11/1984
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 08/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/2006
Series 14A - Compliance Official Specialist Exam
BC
Issued 08/19/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 09/08/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/24/2017
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/09/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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