Kitti E. Franks
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.
Kitti Estelle Franks, who also goes by Kathi Laux, Kathleen Laux, Kitti Estelle Laux, was a registered financial professional .
Kitti is a previously registered financial professional and started their career in finance in 1988. Kitti had worked at 5 firms and has passed the Series 63, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2006 - May 7, 2009
MF GLOBAL INC.
April 3, 2003 - August 22, 2005
REFCO SECURITIES, LLC
December 4, 1995 - November 20, 2001
LIND-WALDOCK SECURITIES, INC.
August 17, 1990 - March 1, 1993
LIND-WALDOCK SECURITIES, INC.
May 31, 1989 - July 30, 1990
SHATKIN FINANCIAL SERVICES, INC.
August 25, 1988 - April 28, 1989
LIND-WALDOCK SECURITIES, 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
Current Firm
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
