Katherine T. Vessells
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.
Katherine Troy Vessells, who also goes by Kathy Vessells, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1998. Katherine had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, 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
January 7, 2019 - December 14, 2024
KINGFISHER SECURITIES, LLC
June 5, 2007 - March 7, 2017
TENECA, LLC
April 26, 2005 - June 26, 2007
DEVENIR, LLC
June 5, 2003 - February 28, 2005
MANCHESTER FINANCIAL GROUP, LLC
August 5, 1998 - July 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
KINGFISHER SECURITIES, LLC
CRD#: 103771 / SEC#: , 8-52271
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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