DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kathleen Ann Tollison
Feed of 09/14/2026
Also filed as Kathleen Ann Kaczala
At current firm
17 y
since Mar 26, 2009
In the industry
37 y
since May 3, 1989 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James Financial Services Advisors, Inc BD affiliated currentsince Mar 26, 2009 · Toledo, Oh
- Money Concepts Advisory Service BD affiliatedAug 18, 2008 to Feb 13, 2009 · Palm Beach Gardens, Fl
- First Insurance And Investments Inc. unclassifiedDec 7, 2006 to Aug 28, 2008 · Maumee, Oh
- Obs Financial formerJul 13, 2006 to Aug 15, 2008 · Concord, Ca
- Obs Brokerage Services, Inc. unclassifiedNov 8, 2004 to Jul 12, 2006 · Whitehouse, Oh
- Raymond James Financial Services, Inc. unclassifiedOct 18, 1999 to Nov 10, 2004 · Defiance, Oh
Moves
a registration end followed by a registration begin elsewhere
- Money Concepts Advisory Service to Raymond James Financial Services Advisors, Incleft Feb 13, 2009, registered Mar 26, 2009 (41 days) · Other
- First Insurance And Investments Inc. to Money Concepts Advisory Serviceleft Aug 28, 2008, registered Aug 18, 2008 (-10 days) · Other
- Obs Financial to First Insurance And Investments Inc.left Aug 15, 2008, registered Dec 7, 2006 (-617 days) · Other
- Obs Brokerage Services, Inc. to Obs Financialleft Jul 12, 2006, registered Jul 13, 2006 (1 days) · Other
- Raymond James Financial Services, Inc. to Obs Brokerage Services, Inc.left Nov 10, 2004, registered Nov 8, 2004 (-2 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address