Kathryn I. Fleischer
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 Irene Fleischer was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2000. Kathryn had worked at 7 firms and has passed the Series 63 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
August 3, 2012 - March 14, 2013
FOREFRONT CAPITAL MARKETS LLC
January 12, 2010 - January 13, 2011
CAZENAVE AND CO., INC.
January 23, 2007 - December 22, 2009
JUNIPER CAPITAL GROUP, LLC
September 14, 2004 - January 31, 2005
C3 CAPITAL, LLC
May 1, 2001 - July 31, 2001
FAR HILLS GROUP, LLC.
July 20, 2000 - May 1, 2001
W.R. HAMBRECHT + CO., LLC
January 6, 2000 - April 28, 2000
PERSHING LLC
State Registrations and Notice Filings
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Exams
Current Firm
FOREFRONT CAPITAL MARKETS LLC
CRD#: 151812 / SEC#: 801-80131, 8-68402
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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