Kathryn C. Mcallister

ACS EXECUTION SERVICES

Red Bank, NJ 07701

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CRD#: 3265993

Professional summary

Kathryn Cassidy Mcallister, who also goes by Kathryn C Farrell, Kathryn Cassidy Farrell, is a registered financial professional currently at ACS EXECUTION SERVICES, LLC located in Red Bank, New Jersey and COMHAR CAPITAL MARKETS, LLC located in Red Bank, New Jersey.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1999. Kathryn has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathryn C Farrell | Kathryn Cassidy Farrell

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 Kathryn Cassidy Mcallister's 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

August 9, 2019 - Present

ACS EXECUTION SERVICES, LLC

Office #1: 12 Broad Street 2nd Floor, Red Bank, NJ 07701

CRD#: 17972

Red Bank, NJ

Current

April 28, 2023 - Present

COMHAR CAPITAL MARKETS, LLC

Office #1: 12 Broad Street 2nd Floor, Red Bank, NJ 07701Office #2: 12 Broad Street Second Floor, Red Bank, NJ 07701

CRD#: 47955

Red Bank, NJ

Current

March 12, 2025 - Present

CODA MARKETS, INC.

Office #1: 12 Broad Street Second Floor, Red Bank, NJ 07701

CRD#: 36187

Red Bank, NJ

Past

April 4, 2019 - August 2, 2019

VIRTU AMERICAS LLC

CRD#: 149823

New York, NY

Past

July 22, 2015 - August 2, 2019

VIRTU ITG LLC

CRD#: 29299

NEW YORK, NY

Past

October 19, 2009 - July 31, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 8, 2009 - September 24, 2009

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

March 7, 2006 - July 7, 2006

WAVE SECURITIES, LLC

CRD#: 43705

NEW YORK, NY

Past

September 2, 1999 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(8/9/2019)

New York
(8/9/2019)

Exams

State Security Law Exam

Series 63

Date: 7/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/1/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2016

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

CODA MARKETS, INC.

CODA MARKETS, INC. | PDQ ATS, INC. | PB TRADE LTD | IMPERIAL INVESTMENTS LTD. | IMPERIAL INVESTMENTS LLC

CRD#: 36187 / SEC#: , 8-47077

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

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Contact information

Main Address

1000 Skokie Blvd. Suite Ll33, Wilmette, IL 60091

Mailing Address

Po Box 2326 2326, Glenvview, IL 60025

Phone number

(872) 205-0187

Established

Connecticut since 10/22/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ACS GLOBAL HOLDINGS, LLC	SHAREHOLDER
DEROLF, MARK KENNETH	CHIEF COMPLIANCE OFFICER	1924355
LANG, TIMOTHY JUDE	CHIEF EXECUTIVE OFFICER	1109356
MITCHELL, RYAN PATRICK	SENIOR MANAGING DIRECTOR	6468380
MURPHY, KRISTEN	FINANCIAL OPERATIONS PRINCIPAL	2287252

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

Kathryn C. Mcallister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Cassidy Mcallister's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMHAR CAPITAL MARKETS, LLC

CODA MARKETS, INC.

VIRTU AMERICAS LLC

VIRTU ITG LLC

CITIGROUP GLOBAL MARKETS INC.

SOLEIL SECURITIES CORPORATION

WAVE SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/24/2000

Series 7

Date: 9/1/1999

Series 24

Date: 10/28/2016

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

CODA MARKETS, INC.

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CODA MARKETS, INC.

TRUST BUT VERIFY

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