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KATHLEEN J ROSHAY
KATHY ROSHAY
CRD#: 5235442
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Suite 1150
Pasadena, CA 91101
0
Disclosures
18
Years of Experience
View By:
State Registrations
B
Arizona 5/10/2017
B
Montana 5/11/2017
B
California 5/10/2017
B
Nevada 5/10/2017
IA
California 5/10/2017
B
New Jersey 8/5/2020
B
Colorado 6/24/2022
B
New York 5/10/2017
B
Connecticut 11/29/2018
B
North Carolina 1/12/2022
B
District of Columbia 11/2/2020
B
Oregon 6/26/2017
B
Florida 9/13/2019
B
Pennsylvania 10/23/2020
B
Georgia 1/7/2020
B
Rhode Island 4/12/2022
B
Idaho 6/18/2020
B
South Dakota 11/4/2021
B
Illinois 5/10/2017
B
Texas 5/10/2017
B
Indiana 5/10/2017
IA
Texas 8/7/2017
B
Kentucky 8/2/2017
B
Utah 1/16/2018
B
Maryland 11/4/2020
B
Vermont 2/23/2022
B
Massachusetts 1/17/2023
B
Washington 5/10/2017
B
Michigan 5/10/2017
B
Wisconsin 6/22/2022
B
Minnesota 1/29/2025
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 5/10/2017
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Registered with this firm since 5/10/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/25/2013 - 05/10/2017 | LOS ANGELES, CA | |
B | 11/25/2013 - 05/10/2017 | LOS ANGELES, CA | |
IA | 11/04/2013 - 11/25/2013 | LOS ANGELES, CA | |
B | 11/04/2013 - 11/25/2013 | LOS ANGELES, CA | |
IA | 01/17/2008 - 11/04/2013 | LOS ANGELES, CA | |
B | 02/12/2007 - 11/04/2013 | LOS ANGELES, CA |
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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.