Kathryn J. Kasanoff
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.
Kathryn Jonas Kasanoff, who also goes by Kate Jonas, Kathryn Jonas, Kate Kasanoff, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1990. Kathryn had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 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
January 18, 2017 - April 11, 2023
NUVEEN SECURITIES, LLC
March 26, 2010 - December 19, 2012
BLACKROCK EXECUTION SERVICES
May 12, 2008 - November 22, 2016
BLACKROCK INVESTMENTS, LLC
March 30, 2004 - August 1, 2007
BLACKROCK INVESTMENTS, LLC
March 22, 1990 - April 2, 1996
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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