Kathleen Halliwell has been Chief Compliance Officer of DMKC Advisory Services since March 2020, is a control person of the firm and directly owns under 5% of it.
DMKC Advisory Services, LLC is a Des Moines, IA firm with $903M under management, 500 clients and 8 advisers in one office, as of its October 2026 filing.
No adviser firm registrations are on Kathleen Halliwell’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 53 | Municipal Securities Principal Examination | 17 November 2023 |
| Series 52TO | Municipal Securities Representative Examination | 13 November 2023 |
| Series 99TO | Operations Professional Examination | 5 April 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 31 March 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 December 2022 |
| Series 57TO | Securities Trader Exam | 30 September 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 18 December 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 December 1993 |
| Series 7 | General Securities Representative Examination | 18 October 1993 |
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Compliance Officer Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kathleen Crichton Halliwell
- CRD
- 1216284
- Firm
- DMKC Advisory Services · CRD 145112
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Kathleen Halliwell work?
Kathleen Halliwell has been Chief Compliance Officer of DMKC Advisory Services, LLC since March 2020, and is a control person of the firm.
Does Kathleen Halliwell have a current investment-adviser registration?
Kathleen Halliwell has a current broker registration and no current investment-adviser registration.
What exams has Kathleen Halliwell passed?
Kathleen Halliwell has passed 11 licensing exams: the Series 7, Series 63, Series 24, Series 57TO, Series 9, Series 14, Series 79TO, Series 10, Series 99TO, Series 52TO and Series 53. The earliest, the Series 7, was passed in October 1993. FINRA credited Kathleen Halliwell with the SIE, which began in October 2018.
Is Kathleen Halliwell registered with FINRA?
Yes. Kathleen Halliwell has a current broker registration, under CRD 1216284.
Source: FINRA BrokerCheck
How can I verify Kathleen Halliwell’s record?
Search CRD 1216284 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kathleen Halliwell’s full registration record.
