Kathy H. Wilke
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Hollenbaugh Wilke was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1981. Kathy had worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2020 - August 30, 2024
NATALLIANCE SECURITIES, LLC
October 2, 2017 - April 6, 2020
HILLTOP SECURITIES INC.
July 3, 2017 - October 1, 2017
STONEX FINANCIAL INC.
May 2, 2014 - July 3, 2017
STERNE, AGEE & LEACH, INC.
February 13, 2013 - May 12, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 8, 2002 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
October 23, 1981 - March 19, 2002
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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