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KATHLEEN SUE DENNIS
KATHLEEN S DENNIS, KATHLEEN DENNIS, KATHLEEN S HALFERTY, KATHLEEN SUE HALFERTY
CRD#: 2083061
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 125 WEST MAIN
ST CHARLES, IA 50240
ST CHARLES, IA 50240
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12/19/2023
Financial
Final
10/5/2022
Financial
Final
State Registrations
B
Iowa 10/22/2018
IA
Iowa 10/22/2018
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/22/2018
B
Registered with this firm since 10/22/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 11/09/2018 | ST. CHARLES, IA | |
B | 01/02/2018 - 11/09/2018 | ST. CHARLES, IA | |
IA | 06/18/2015 - 12/31/2017 | St Charles, IA | |
B | 06/18/2015 - 12/31/2017 | St Charles, IA | |
IA | 03/29/2000 - 07/16/2015 | ST CHARLES, IA | |
B | 10/19/1999 - 07/16/2015 | ST CHARLES, IA | |
B | 04/08/1991 - 10/26/1999 | TINLEY PARK, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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