Katherine A. Zupan
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 Aliceallen Zupan, who also goes by Katherine Alice Allen Zupan, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1998. Katherine had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2011 - September 21, 2004
ZUPAN, KATHERINE A. A.
January 1, 2011 - December 31, 2012
ZUPAN, KATHERINE A. A.
April 3, 2006 - December 31, 2010
ZUPAN, KATHERINE A. A.
May 29, 2001 - May 7, 2003
LLOYD, SCOTT & VALENTI, LTD.
January 16, 1998 - June 19, 2001
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ZUPAN, KATHERINE A. A.
CRD#: 130621 / SEC#:
Contact information
Red Flags
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