Kaaren A. Sagastume
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.
Kaaren Anderson Sagastume, who also goes by Kaaren Ann Anderson, Kaaren Ann Brandt, was a registered financial professional .
Kaaren is a previously registered financial professional and started their career in finance in 1991. Kaaren had worked at 2 firms and has passed the Series 63, SIE, Series 99 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
August 22, 2012 - October 2, 2019
DRIEHAUS SECURITIES LLC
February 1, 1991 - April 6, 1993
EXECUTION SERVICES INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
DRIEHAUS SECURITIES LLC
CRD#: 8197 / SEC#: , 8-24024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIEHAUS CAPITAL HOLDINGS LLLP | MEMBER | |
| DRIEHAUS, RICHARD HERMAN | CHAIRMAN | 72026 |
| KOCHEVAR, ANNE STEELE | CHIEF COMPLIANCE OFFICER | 1281519 |
| KURINSKY, ROBERT MICHAEL | CHIEF FINANCIAL OFFICER AND TREASURER | 4642292 |
| MCWILLIAMS, JANET LYNN | GENERAL COUNSEL AND SECRETARY | 2730133 |
| SEFTENBERG, THOMAS MCKEAN | DIRECTOR OF RELATIONSHIP MANAGEMENT AND MARKETING | 3127527 |
| WEBER, STEPHEN THOMAS | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3223117 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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