Katherine L. Kumro
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.
Katherine Lisa Kumro, who also goes by Katherine Lisa Kumro, Katherine Lisa Miller Kumro, Lisa K Kumro, Katherine Lisa Miller, Lisa Miller, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1988. Katherine had worked at 6 firms and has passed the Series 63, SIE, Series 7 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 3, 2024 - January 13, 2025
PURSHE KAPLAN STERLING INVESTMENTS
January 3, 2022 - July 5, 2024
ARKADIOS CAPITAL
September 19, 1996 - January 3, 2022
INVESTMENT ARCHITECTS, INC.
August 21, 1995 - September 12, 1996
FINANCIAL TELESIS INC
December 16, 1989 - September 7, 1995
LPL FINANCIAL LLC
July 20, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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