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Michelle M. Kato

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CRD#: 3203111
MK

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.

Michelle Maki Kato was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 2000. Michelle had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 27, 2023 - February 12, 2024

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
Los Angeles, CA
Past

February 14, 2018 - August 17, 2018

LWPARTNERS CAPITAL GROUP LLC

BD
CRD#: 167438
NEW YORK, NY
Past

August 14, 2014 - January 5, 2016

ARES MANAGEMENT CAPITAL MARKETS LLC

BD
CRD#: 166219
LOS ANGELES, CA
Past

February 9, 2005 - May 16, 2013

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

RIA
CRD#: 121876
LOS ANGELES, CA
Past

May 4, 2004 - May 16, 2013

NUVEEN SECURITIES, LLC

BD
CRD#: 469
LOS ANGELES, CA
Past

January 18, 2001 - April 19, 2004

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

June 26, 2000 - November 29, 2000

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/23/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2004
General Securities Principal Examination

Current Firm

ID
IMST DISTRIBUTORS, LLC
FORESIDE DISTRIBUTION PARTNERS, LLC | PNC FUND DISTRIBUTOR, LLC | PNC FUND DISTRIBUTOR, INC. | MERCANTILE INVESTMENT SERVICES, INC. | IMST DISTRIBUTORS, LLC

CRD#: 130745 / SEC#: , 8-66389

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

IMST DISTRIBUTORS, LLC

CRD#: 130745

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