Katherine J. Grady
Professional summary
Katherine Joan Grady was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Katherine is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Katherine had worked at 3 firms, which includes DOMINION CAPITAL CORPORATION, STEIN SHORE SECURITIES INC., NAVIGATOR SECURITIES LIMITED.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1995 - February 14, 1998
DOMINION CAPITAL CORPORATION
April 7, 1994 - March 10, 1995
STEIN, SHORE SECURITIES, INC.
March 1, 1994 - April 6, 1994
NAVIGATOR SECURITIES LIMITED
State Registrations and Notice Filings
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Exams
Current Firm
DOMINION CAPITAL CORPORATION
CRD#: 18837 / SEC#: , 8-36989
Contact information
Documents
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