Katiana G. Macnabb
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.
Katiana Guzman Macnabb, who also goes by Katiana Guzman, Katiana Guzman Mac Nabb, Katiana Mac Nabb, was a registered financial professional .
Katiana is a previously registered financial professional and started their career in finance in 1993. Katiana had worked at 3 firms and has passed the Series 65, Series 63 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
March 31, 2010 - December 31, 2012
CARAVEL MANAGEMENT LLC
September 30, 1993 - October 2, 1995
BURSAMEX INC.
July 8, 1993 - July 10, 1993
SCOTIA INTERNATIONAL, 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
CARAVEL MANAGEMENT LLC
CRD#: 140701 / SEC#: 802-112143
Contact information
Documents
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 10/16/2020 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
