Kathryn L. Mumaw
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.
Kathryn Leah Mumaw, who also goes by Kathryn Hildreth, Kathryn White Mumaw, Kathryn Leah White, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1983. Kathryn had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - October 4, 2017
HANCOCK WHITNEY INVESTMENT SERVICES INC.
October 23, 2013 - October 4, 2017
HANCOCK WHITNEY INVESTMENT SERVICES INC.
May 27, 2008 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
February 26, 2008 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
November 15, 2004 - February 26, 2008
WHITNEY SECURITIES, L.L.C.
May 5, 2000 - August 25, 2004
CHASE INVESTMENT SERVICES CORP.
March 14, 2000 - August 25, 2004
CHASE INVESTMENT SERVICES CORP.
August 11, 1997 - February 4, 2000
DLS CAPITAL PARTNERS, INC.
June 7, 1993 - April 6, 1995
GRUNTAL & CO., L.L.C.
February 26, 1990 - May 11, 1993
RAYMOND JAMES & ASSOCIATES, INC.
May 30, 1989 - February 6, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
January 4, 1989 - June 9, 1989
PERSHING LLC
July 25, 1985 - January 18, 1989
RAUSCHER PIERCE REFSNES, INC.
June 10, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 22, 1983 - May 31, 1983
DONALD SHELDON & CO., INC.
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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 8
Date: 8/30/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
