Katherine A. Klingler
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 Alexandra Klingler, who also goes by K Alexandra Klingler, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1992. Katherine had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 6, Series 22, Series 30, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2019 - August 13, 2025
POLARIS PRIVATE PLACEMENTS, LLC
April 29, 2008 - February 17, 2016
WESTON FINANCIAL SERVICES LLC
October 27, 2005 - May 2, 2007
WESTON FINANCIAL SERVICES LLC
January 2, 2003 - August 4, 2005
FANO SECURITIES LLC
October 23, 1996 - February 8, 1999
INTER SECURITIES LTD.
October 16, 1996 - January 23, 2001
MERITUS SECURITIES, INC.
August 30, 1994 - October 2, 1995
CROWN FINANCIAL ASSOCIATES, INC.
September 1, 1992 - September 23, 1992
PALMER SQUARE SECURITIES INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 4/4/2019
General Securities Representative ExaminationCurrent Firm
POLARIS PRIVATE PLACEMENTS, LLC
CRD#: 288104 / SEC#: , 8-69922
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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