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Kathleen Mary Zinniel

Other Names: Kathleen Mary Erwin, Kathleen Mary Gardner
Firm:
Cetera Advisor Networks LLC
Type: Registered Representative
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Description

Kathleen Zinniel a financial professional at Cetera Advisor Networks LLC, a broker-dealer with over 2,100 registered representatives nationwide. Kathleen has held an industry securities registration for 6 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Kathleen Mary Zinniel has not answered any questions on Financial Q&A.

Top Guides

Kathleen Mary Zinniel has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Business Development Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Advanced Wealth Management Group 6 years, 8 months Sep 2006 - Present
Financial Network Investment Corporation 7 years, 8 months Sep 2005 - Present
Severtson & Associates 1 year, 1 month Aug 2005 - Sep 2006
Park Avenue Securities 11 months Oct 2004 - Sep 2005
Guardian Life Insurance Company 10 months Oct 2004 - Aug 2005
Foster Klima 1 year, 2 months Jun 2004 - Aug 2005
Advanced Wealth Mgmt 4 years Jun 2000 - Jun 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
08/15/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 04/28/2007
Investment Company Products/Variable Contracts Representative Examination Series 6 04/19/2005

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions