Kathi R. Mansfield
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.
Kathi Renee Mansfield, who also goes by Kathi R Erwin, was a registered financial professional .
Kathi is a previously registered financial professional and started their career in finance in 1988. Kathi had worked at 14 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 14, 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
February 7, 2022 - October 20, 2025
REALTA EQUITIES, INC.
September 14, 2015 - February 2, 2022
DEMPSEY LORD SMITH, LLC
August 9, 2011 - December 31, 2013
PEAK BROKERAGE SERVICES, LLC
January 21, 2008 - February 22, 2011
CAPE SECURITIES INC.
June 14, 2005 - January 7, 2008
RESOURCE HORIZONS GROUP LLC
March 23, 2004 - June 3, 2005
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 5, 2004 - March 23, 2004
KNIGHT BONDPOINT, INC.
August 11, 2003 - February 10, 2004
AMERIPRISE ADVISOR SERVICES, INC.
November 1, 2002 - August 14, 2003
THE ADVISORS GROUP, INC.
May 14, 1999 - July 20, 2001
COMPULIFE INVESTOR SERVICES, INC.
April 18, 1997 - April 13, 1999
RAYMOND JAMES & ASSOCIATES, INC.
February 27, 1991 - April 23, 1997
CITIGROUP GLOBAL MARKETS INC.
August 25, 1989 - January 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 27, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 5, 1988 - January 14, 1991
PRUDENTIAL EQUITY GROUP, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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