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KATHLEEN M BAEZ
KATHLEEN MARIE BAEZ, KATHLEEN MARIE KOSHKO
CRD#: 4598733
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5034 34TH ST
SAN DIEGO, CA 92116
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)IALPL FINANCIAL LLC (CRD# 6413)2021 - Present (4 years)BLPL FINANCIAL LLC (CRD# 6413)2020 - Present (5 years)BTRIAD ADVISORS LLC (CRD# 25803)2019 - 2019 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2010 - 2018 (8 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2007 (1 year)IAINTEGRATED WEALTH CONCEPTS LLC (CRD# 284656)2020 - 2021 (1 year)IARESOURCES INVESTMENT ADVISORS (CRD# 106766)2018 - 2019 (<1 year)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2016 - 2018 (2 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2006 - 2007 (<1 year)
License(s)

State Registrations

B
California 1/2/2020

IA
California 1/4/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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LPL FINANCIAL LLC (CRD#:6413)
5034 34TH ST, SAN DIEGO, CA 92116
Registered with this firm since 1/4/2021

B
LPL FINANCIAL LLC (CRD#:6413)
5034 34TH ST, SAN DIEGO, CA 92116
Registered with this firm since 1/2/2020

Previous Registration(s)
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IA
01/22/2020 - 01/07/2021 INTEGRATED WEALTH CONCEPTS LLC (CRD#:284656) San Diego, CA
B
01/02/2019 - 12/04/2019 TRIAD ADVISORS LLC (CRD#:25803) San Diego, CA
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12/05/2018 - 11/30/2019 RESOURCES INVESTMENT ADVISORS (CRD#:106766) San Diego, CA
IA
01/26/2016 - 12/31/2018 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) San Diego, CA
B
11/30/2010 - 12/31/2018 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
IA
09/21/2007 - 12/01/2010 NRP ADVISORS, INC. (CRD#:141430) LA JOLLA, CA
B
09/21/2007 - 11/30/2010 NRP FINANCIAL, INC. (CRD#:103717) LA JOLLA, CA
IA
10/17/2006 - 09/27/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) LA JOLLA, CA
B
10/25/2005 - 09/27/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) LA JOLLA, CA
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.