Kathleen M. Breitenbach
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.
Kathleen Maginniss Breitenbach, who also goes by Kate Maginniss Breitenbach, Kathleen Elizabeth Breitenbach, Kathleen Elizabeth Katie Breitenbach, Katie Breitenbach, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1994. Kathleen had worked at 6 firms and has passed the Series 63, Series 82TO, 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
May 9, 2024 - November 4, 2025
RAINMAKER SECURITIES, LLC
June 20, 2022 - April 18, 2024
FINALIS SECURITIES LLC
May 14, 2022 - June 8, 2022
IOI CAPITAL AND MARKETS, LLC
April 25, 1996 - December 13, 1996
UBS SECURITIES LLC
January 26, 1995 - April 16, 1996
JPMSI
December 14, 1994 - January 9, 1995
MENOCAL & CO.
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
Series 82TO
Date: 5/13/2022
Limited Representative-Private Securities OfferingsCurrent Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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