VANNOY-PINEDA KATHLEEN DENISE appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. VANNOY-PINEDA KATHLEEN DENISE appears on 8 filing roles across Form ADV (8).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | LPL FINANCIAL LLC | CHIEF COMPLIANCE OFFICER-BROKERAGE | FORT MILL, SC |
| — | Form ADV | TIAA-CREF TUITION FINANCING, INC. | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | WATERSTONE FINANCIAL GROUP, INC. | CHIEF COMPLIANCE OFFICER | ITASCA, IL |
| — | Form ADV | MUTUAL SERVICE CORPORATION | CHIEF COMPLIANCE OFFICER | WEST PALM BEACH, FL |
| — | Form ADV | ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | ASSOCIATED SECURITIES CORP. | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | UVEST FINANCIAL SERVICES GROUP, INC. | EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER | CHARLOTTE, NC |
| — | Form ADV | CETERA ADVISORS LLC | SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY | GREENWOOD VILLAGE, CO |