Kathleen M. Menten
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.
Kathleen Mcavey Menten, who also goes by Kathleen Marie Mcavey, Kathleen Mcavey Mcavey, Kathleen Marie Menten, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 15 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
July 10, 2019 - February 14, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
March 1, 2017 - March 14, 2019
BANKERS CAPITAL INTERNATIONAL
July 25, 2016 - March 15, 2017
DALMORE GROUP LLC
July 15, 2013 - May 4, 2016
KGS-ALPHA CAPITAL MARKETS, L.P.
July 2, 2012 - July 15, 2013
VIRTU AMERICAS LLC
February 5, 2008 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
May 22, 2002 - February 8, 2008
MORGAN STANLEY & CO. LLC
August 21, 1984 - February 8, 2008
MORGAN STANLEY & CO. LLC
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 15
Date: 8/11/1986
Foreign Currency Options ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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