Kathryn A. Harrod
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.
Kathryn Ann Harrod was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1995. Kathryn had worked at 4 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 12, 2018 - August 21, 2020
COMPASS DISTRIBUTORS, LLC
August 15, 2013 - December 31, 2018
IMST DISTRIBUTORS, LLC
September 20, 2006 - May 9, 2013
AMUNDI DISTRIBUTOR US, INC.
February 2, 1995 - November 23, 2004
OAK RIDGE INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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