Kathleen R. Wright
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 Rachel Wright was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1996. Kathleen had worked at 5 firms and has passed the Series 65, 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
April 4, 2014 - March 30, 2016
STONEBRIDGE SECURITIES LLC
September 13, 2010 - May 17, 2012
OPPENHEIMER & CO. INC.
August 18, 2010 - August 24, 2010
STONEBRIDGE SECURITIES LLC
September 1, 2004 - September 25, 2008
STONEBRIDGE SECURITIES LLC
January 8, 1999 - October 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1998 - October 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 2, 1998 - November 16, 1998
RBC CAPITAL MARKETS, LLC
October 31, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
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
STONEBRIDGE SECURITIES LLC
CRD#: 47659 / SEC#: , 8-51851
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENDRICKSON, MICHAEL ALLAN | MANAGING PRINCIPAL& CHIEF COMPLIANCE OFFICER | 242948 |
Red Flags
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