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Kathleen Mary Toolen

Raymond James & Associates, Inc.

Paramus, NJ

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-08-15
  • NJ RA
    APPROVED
    Since 2022-08-15

Branch Locations

61 South Paramus Road Suite 360, Paramus, NJ 07652 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Paramus NJ 03/2007 03/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 03/2021 07/2022
Raymond James & Associates, Inc Paramus NJ 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-01
S63 Uniform Securities Agent State Law Examination 1993-07-21
  • S65 Uniform Investment Adviser Law Examination
    2008-12-01
  • S63 Uniform Securities Agent State Law Examination
    1993-07-21
Other Names
  • Kathleen Mary Toolen
  • Kathleen Toolen
  • Kathleen M Toolen

View on SEC IAPD

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