Kathleen DionneCRD Number: 1046406
Current Firm: Summit Financial Group Inc.
Kathleen Dionne (CRD# 1046406) is an Investment Advisor Representative working at Summit Financial Group Inc. in Orlando, FL and has over 34 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Summit Financial Group Inc.||Orlando, FL||Jul 2009 - Current||8|
|Summit Brokerage Services Inc.||Orlando, FL||Jul 2009 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691||Winter Park, FL||Sep 2006 - Jul 2009||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1984|
|S65||NASAA Investment Advisors Law Examination||Jun 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Employer Dispute
- Judgments / Liens
Total Assets Under Management3,800MILLIONS
Total Number of Accounts27,685ACCOUNTS
Average Account Value$137,241
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV