Kate R. Malone
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.
Kate Rachelle Malone, who also goes by Kate Rost, was a registered financial professional .
Kate is a previously registered financial professional and started their career in finance in 1983. Kate had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2024 - July 30, 2024
PIMCO INVESTMENTS LLC
November 24, 2009 - November 29, 2023
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
March 24, 2008 - November 29, 2023
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
February 11, 2008 - March 14, 2008
PACIFIC WEST SECURITIES, INC.
January 8, 2004 - May 12, 2006
MCADAMS WRIGHT RAGEN, INC.
September 3, 1997 - August 31, 1998
U.S. BANCORP INVESTMENTS, INC.
September 27, 1994 - September 3, 1997
U.S. BANCORP SECURITIES
April 27, 1993 - September 21, 1994
INTERPACIFIC INVESTORS SERVICES, INC.
April 2, 1986 - October 9, 1992
WAMU INVESTMENTS, INC.
September 13, 1983 - April 29, 1986
DAIN RAUSCHER INCORPORATED
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
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
