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KF

K M Fitzpatrick

CABOT LODGE SECURITIES LLC
Schaumburg, IL 60173
Some features on this profile are disabled
CRD#: 3203061
KF

Professional summary

K M Fitzpatrick, who also goes by Katherine Mary Fitzpatrick, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Schaumburg, Illinois.

K M is registered as a RR (Registered Representative) and started their career in finance in 1999. K M has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Mary Fitzpatrick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view K M Fitzpatrick's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 1, 2013 - Present

CABOT LODGE SECURITIES LLC

Office #1: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
BD
CRD#: 159712
Schaumburg, IL
Past

March 4, 2008 - April 4, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

May 4, 2006 - March 4, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

January 1, 2005 - May 16, 2005

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

November 17, 1999 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/13/2018)
RR
Arkansas
(2/13/2018)
RR
California
(2/13/2018)
RR
Colorado
(2/13/2018)
RR
Connecticut
(3/1/2013)
RR
Delaware
(2/13/2018)
RR
District of Columbia
(2/13/2018)
RR
Florida
(3/1/2013)
RR
Georgia
(2/13/2018)
RR
Hawaii
(2/13/2018)
RR
Illinois
(2/13/2018)
RR
Indiana
(2/13/2018)
RR
Iowa
(2/13/2018)
RR
Kansas
(2/13/2018)
RR
Kentucky
(2/13/2018)
RR
Louisiana
(2/13/2018)
RR
Maine
(2/13/2018)
RR
Maryland
(2/13/2018)
RR
Massachusetts
(2/13/2018)
RR
Minnesota
(2/13/2018)
RR
Mississippi
(2/13/2018)
RR
Missouri
(2/13/2018)
RR
Nebraska
(2/13/2018)
RR
Nevada
(2/13/2018)
RR
New Hampshire
(2/13/2018)
RR
New Jersey
(3/1/2013)
RR
New Mexico
(2/13/2018)
RR
New York
(3/1/2013)
RR
North Carolina
(2/14/2018)
RR
North Dakota
(2/13/2018)
RR
Ohio
(2/13/2018)
RR
Oklahoma
(2/13/2018)
RR
Oregon
(2/13/2018)
RR
Pennsylvania
(2/13/2018)
RR
Rhode Island
(2/13/2018)
RR
South Carolina
(2/13/2018)
RR
South Dakota
(2/13/2018)
RR
Tennessee
(2/13/2018)
RR
Texas
(2/13/2018)
RR
Utah
(2/13/2018)
RR
Vermont
(2/13/2018)
RR
Virginia
(2/13/2018)
RR
Washington
(2/13/2018)
RR
West Virginia
(2/13/2018)
RR
Wisconsin
(2/13/2018)
RR
Wyoming
(2/13/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Phone number
(212) 388-6200
Established
Delaware since 10/21/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CABOT LODGE SECURITIES LLC

CRD#: 159712Schaumburg, IL 60173

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