Individual Firm
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KATHLEEN MARIE KNIGHT
KATHLEEN MARIE BARBRACK, KATHLEEN MARIE CONNELLY
CRD#: 4734040
IA
B
EAGLE STRATEGIES LLCCRD#: 110826 26501 RANCHO PARKWAY SOUTH
SUITE 102
LAKE FOREST, CA 92630
SUITE 102
LAKE FOREST, CA 92630
NYLIFE SECURITIES LLCCRD#: 5167 26501 RANCHO PKWY SOUTH
SUITE 102
LAKE FOREST, CA 92630
SUITE 102
LAKE FOREST, CA 92630
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Arizona 8/13/2019
B
New York 8/11/2020
B
Arkansas 7/24/2023
B
Ohio 9/3/2020
B
California 8/5/2016
B
South Carolina 6/10/2021
IA
California 8/15/2016
B
Tennessee 6/17/2019
B
Colorado 10/4/2022
B
Texas 8/20/2021
B
Florida 7/20/2021
IA
Texas 9/22/2021
B
Idaho 7/23/2021
B
Utah 5/13/2021
B
Mississippi 6/22/2021
B
Virginia 2/24/2021
B
Nevada 10/12/2021
B
Washington 8/10/2020
B
New Jersey 2/24/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/15/2016
B
Registered with this firm since 8/5/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 07/26/2016 | HUNTINGTON BEACH, CA | |
B | 10/01/2012 - 07/26/2016 | HUNTINGTON BEACH, CA | |
IA | 06/14/2010 - 10/01/2012 | HUNTINGTON BEACH, CA | |
B | 06/14/2010 - 10/01/2012 | HUNTINGTON BEACH, CA | |
IA | 04/08/2004 - 06/04/2010 | CONCORD, CA | |
B | 03/12/2004 - 06/04/2010 | CONCORD, CA | |
B | 03/12/2004 - 07/03/2006 | MINNEAPOLIS, MN |
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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.
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.