Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Rooney has been in the financial services industry since 2000 and is currently registered with Alps Distributors, Inc. Kathryn has a Series 7, Series 3, Series 66 and Series 30 license. Kathryn has held previous roles at Alps Distributors, Inc. in Denver, Colorado.
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.
1
2
CA
02/03/2004 - Present
Alps Distributors, Inc. (Walnut Creek CA)
CO
02/07/2003 - 11/04/2003
ALPS DISTRIBUTORS, INC. (DENVER CO)
CO
02/04/2000 - 10/31/2002
ALPS DISTRIBUTORS, INC. (DENVER CO)
BOTH
Issued 02/24/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/2015
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2015
Series 3 - National Commodity Futures Examination
BC
Issued 02/03/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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