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KK

Kathy J. Kuria

REDBRIDGE GLOBAL MARKETS
HOUSTON, TX 77002
Some features on this profile are disabled
CRD#: 4004859
KK

Professional summary

Kathy Jones Kuria, who also goes by Kathy Leanette Jones, Kathy J Kuria, Kathy J. Kuria, Kathy Jones Kuria, is a registered financial professional currently at REDBRIDGE GLOBAL MARKETS, LLC located in Houston, Texas and LIDO SECURITIES, LLC located in The Woodlands, Texas.

Kathy is registered as a RR (Registered Representative) and started their career in finance in 2000. Kathy has worked at 18 firms and has passed the Series 65, Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathy Leanette Jones | Kathy J Kuria | Kathy J. Kuria | Kathy Jones Kuria

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 Kathy Jones Kuria'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 28, 2024 - Present

REDBRIDGE GLOBAL MARKETS, LLC

Office #1: 712 Main Street Suite 800, Houston, TX 77002
BD
CRD#: 319550
HOUSTON, TX
Current

January 9, 2026 - Present

LIDO SECURITIES, LLC

Office #1: 8111 Ashlane Way Suite 207, The Woodlands, TX 77382Office #2: 8111 Ashlane Way Suite 207, The Woodlands, TX 77382
BD
CRD#: 331956
The Woodlands, TX
Past

January 8, 2024 - December 20, 2024

IFP SECURITIES, LLC

BD
CRD#: 297287
TAMPA, FL
Past

June 1, 2023 - April 12, 2024

QUINT CAPITAL CORPORATION

BD
CRD#: 26586
NEW YORK, NY
Past

October 20, 2022 - July 2, 2024

SYNAPSE BROKERAGE LLC

BD
CRD#: 137662
PARKER, CO
Past

December 16, 2021 - March 14, 2022

RWM CAPITAL, LLC

RIA
CRD#: 310635
SUGAR LAND, TX
Past

April 12, 2019 - November 12, 2021

AVALON INVESTMENT & ADVISORY

RIA
CRD#: 112556
HOUSTON, TX
Past

April 12, 2019 - November 12, 2021

AVALON WEALTH MANAGEMENT LLC

BD
CRD#: 162745
HOUSTON, TX
Past

May 16, 2013 - April 2, 2019

BBVA SECURITIES INC.

BD
CRD#: 27060
HOUSTON, TX
Past

November 11, 2011 - April 2, 2019

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
HOUSTON, TX
Past

March 6, 2008 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
HOUSTON, TX
Past

July 26, 2007 - September 6, 2007

OSAIC SERVICES, INC.

RIA
CRD#: 133763
HOUSTON, TX
Past

July 24, 2007 - September 6, 2007

OSAIC SERVICES, INC.

BD
CRD#: 133763
HOUSTON, TX
Past

February 1, 2006 - March 19, 2007

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
HOUSTON, TX
Past

September 3, 2004 - January 30, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
HOUSTON, TX
Past

September 2, 2004 - January 30, 2006

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

December 19, 2001 - July 26, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SUGAR LAND, TX
Past

December 19, 2001 - July 26, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 15, 2001 - December 5, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 21, 2000 - March 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
Texas
(3/28/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/10/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/27/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/9/2026
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/21/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LIDO SECURITIES, LLC
LIDO SECURITIES, LLC

CRD#: 331956 / SEC#: , 8-71291

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

Main Address
8111 Ashlane Way Suite 207, The Woodlands, TX 77382
Mailing Address
8111 Ashlane Way Suite 207, The Woodlands, TX 77382
Phone number
(713) 240-2793
Established
Delaware since 04/04/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 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#
LAL INTERMEDIATE, LLCSOLE MEMBER
KURIA, KATHY JONESMANAGER, PRESIDENT. EXECUTIVE REPRESENTATIVE & AMLCO4004859
MIMARI, LEON ANTHONYCCO AND MUNICPAL PRINCIPAL5102749
SHUMBERG, IVANA MARCELLAFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER3167225

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

LIDO SECURITIES, LLC

CRD#: 331956Houston, TX 77002

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