Bethanne Kashuba
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.
Bethanne Kashuba, who also goes by Beth Anne Kashiba, Beth Anne Kashuba, was a registered financial professional .
Bethanne is a previously registered financial professional and started their career in finance in 1986. Bethanne had worked at 2 firms and has passed the Series 63, Series 3, Series 55 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
October 14, 1998 - February 27, 2012
WG TRADING COMPANY LIMITED PARTNERSHIP
October 22, 1986 - October 1, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, 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 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
WG TRADING COMPANY LIMITED PARTNERSHIP
CRD#: 27308 / SEC#: , 8-43009
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPLOYEE RETIREMENT INCOME PLAN TRUST OF 3-M | LIMITED PARTNER IN APPLICANT | |
| STATE INVESTMENT BOARD NORTH DAKOTA | LIMITED PARTNER IN APPLICANT | |
| WGIA, LLC | LIMITED PARTNER IN APPLICANT | |
| SAN DIEGO COUNTY EMPLOYEE RETIREMENT | LIMITED PARTNER | |
| WG TRADING INVESTORS LIMITED PARTNERSHIP | LIMITED PARTNERSHIP IN APPLICANT | |
| BELLO, JOHN | CROP | 704376 |
| DUFFY, DEBORAH ANN | CCO | 1683496 |
| GREENWOOD, PAUL ROBERT | GENERAL PARTNER, CFO, COO | |
| WALSH, STEPHEN | GENERAL PARTNER, CEO, SROP | 458115 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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