Katina J. Dorton
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.
Katina J Dorton was a registered financial professional .
Katina is a previously registered financial professional and started their career in finance in 1995. Katina had worked at 5 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
November 18, 2014 - March 3, 2016
FENNEBRESQUE & CO., LLC
April 30, 2010 - December 31, 2012
INTE SECURITIES LLC
October 4, 2007 - May 5, 2009
NEEDHAM & COMPANY, LLC
June 30, 2006 - November 3, 2006
MORGAN STANLEY DISTRIBUTION, INC.
January 29, 1995 - July 11, 2006
MORGAN STANLEY & CO. LLC
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
FENNEBRESQUE & CO., LLC
CRD#: 146857 / SEC#: , 8-67857
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENNEBRESQUE & CO. HOLDINGS, LLC | OWNER | |
| FENNEBRESQUE, JOHN CLARK JR | MANAGING MEMBER/MANAGING PARTNER, CCO, CFO | 4248387 |
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.
