Katherine L. Apfel
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 Louise Apfel, who also goes by Katherine L Apfel, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1993. Katherine had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
February 24, 2017 - July 24, 2018
SIDOTI & COMPANY, LLC
February 4, 2016 - November 29, 2016
AXIOM CAPITAL MANAGEMENT, INC.
June 19, 2000 - March 11, 2004
CABOTO USA, INC.
July 8, 1999 - April 28, 2000
SANTANDER INVESTMENT SECURITIES INC.
December 8, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
December 8, 1993 - September 26, 1994
LEHMAN GOVERNMENT SECURITIES INC.
December 8, 1993 - September 26, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
