Katherine T. Stockton
Professional summary
Katherine Townshend Stockton, who also goes by Katherine Elston Townshend, Katie Elston Townshend, is a registered financial advisor currently at FAIRLEAD STRATEGIES located in Greenwich, Connecticut.
Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Katherine has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Townshend Stockton's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 24, 2018 - Present
FAIRLEAD STRATEGIES
Office #1: 19 East Elm Street 2nd Floor, Greenwich, CT 06830September 16, 2013 - February 13, 2018
BTIG, LLC
August 17, 2004 - October 11, 2013
MKM PARTNERS LLC
January 31, 2003 - August 25, 2003
MORGAN STANLEY & CO. LLC
October 17, 2000 - July 17, 2001
SOUNDVIEW TECHNOLOGY CORPORATION
August 26, 1999 - November 7, 2000
E*OFFERING
September 4, 1998 - August 19, 1999
PERSHING LLC
Primary Firm SEC Registration
FAIRLEAD STRATEGIES
CRD#: 297384 / SEC#: 801-122857
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/9/2019)
(7/24/2018)
(1/19/2023)
(4/29/2021)
(12/13/2018)
(7/31/2019)
(5/9/2021)
(8/28/2018)
Exams
Current Firm
FAIRLEAD STRATEGIES
CRD#: 297384 / SEC#: 801-122857
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 215,356,115 |
Red Flags
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