KATHLEEN ELIZABETH BING

KATHLEEN ELIZABETH BING is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 1110 IRON POINT ROAD, SUITE 160, FOLSOM, CA, 95630.

KATHLEEN ELIZABETH BING has worked at SECURITIES AMERICA, INC. since March 09, 2009

Disclosure History

KATHLEEN ELIZABETH BING has 2 Disclosure Event(s).

Date: October 31, 2014
Category: Financial
Type: Compromise
Disposition: Compromise completed
Broker Comment: Item discovered by B/D when a credit report was pulled for the advisor.

Date: May 27, 2011
Category: Financial
Type: Compromise
Disposition: Compromise completed
Broker Comment: Item discovered by B/D when a credit report was pulled for the advisor.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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