Katharine K. Hall
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.
Katharine Klein Hall, who also goes by Kate Hall, Kate Lalley, Katharine Klein Lalley, Katharine Lalley, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 1997. Katharine had worked at 5 firms and has passed the Series 63, SIE 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
December 10, 2008 - February 5, 2019
SENDERO SECURITIES, LLC
May 14, 2008 - February 5, 2019
SENDERO WEALTH MANAGEMENT, LLC
January 15, 2008 - May 5, 2008
USCA ASSET MANAGEMENT LLC
December 11, 2002 - May 5, 2008
HITHERLANE PARTNERS, LLC
February 28, 2000 - August 6, 2008
HITHERLANE PARTNERS, LLC
November 5, 1997 - February 14, 2000
UBS FINANCIAL SERVICES 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
SENDERO SECURITIES, LLC
CRD#: 146627 / SEC#: , 8-67834
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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