Kathy J. Kuria

REDBRIDGE GLOBAL MARKETS

HOUSTON, TX 77002

Some features on this profile are disabled

CRD#: 4004859

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.

Kathy is registered as a RR (Registered Representative) and started their career in finance in 2000. Kathy has worked at 17 firms and has passed the Series 65, Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Since 4/10/2019, Ms. Kuria has been a full-time employee of Avalon Advisors, LLC ("Avalon"), a federally registered investment adviser; she also is a part-time employee of Avalon's wholly-owned broker-dealer subsidiary, Avalon Wealth Management LLC ("AWM"). Both Avalon and AWM are located at 2929 Allen Parkway, Suite 3000, Houston, Texas 77019-7124. Mrs. Kuria serves as Chief Compliance Officer of both organizations. Her primary responsibilities and the majority of her monthly work hours are dedicated to Avalon's compliance program.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathy Jones Kuria'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

March 28, 2024 - Present

REDBRIDGE GLOBAL MARKETS, LLC

Office #1: 712 Main Street Suite 800, Houston, TX 77002

CRD#: 319550

HOUSTON, TX

Past

January 8, 2024 - December 20, 2024

IFP SECURITIES, LLC

CRD#: 297287

TAMPA, FL

Past

June 1, 2023 - April 12, 2024

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

October 20, 2022 - July 2, 2024

SYNAPSE BROKERAGE LLC

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

CRD#: 162745

HOUSTON, TX

Past

May 16, 2013 - April 2, 2019

BBVA SECURITIES INC.

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

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.

CRD#: 133763

HOUSTON, TX

Past

February 1, 2006 - March 19, 2007

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

HOUSTON, TX

Past

September 3, 2004 - January 30, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

HOUSTON, TX

Past

September 2, 2004 - January 30, 2006

AMERICAN GENERAL EQUITY SERVICES CORPORATION

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.

CRD#: 7556

PURCHASE, NY

Past

October 15, 2001 - December 5, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 21, 2000 - March 20, 2002

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

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

IAR

Series 66

Date: 10/27/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/21/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REDBRIDGE GLOBAL MARKETS, LLC

CRD#: 319550 / SEC#: , 8-70909

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

712 Main Street Suite 800, Houston, TX 77002

Mailing Address

712 Main Street Suite 1820, Houston, TX 77002

Phone number

(346) 561-5623

Established

Delaware since 12/01/2021

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
REDBRIDGE USA, INC.	MEMBER
FIALA, ANGELA MARIA	FINOP/PFO/POO	5163386
KURIA, KATHY JONES	CCO	4004859
LOKKER, AUDREY MATHER	CEO	5506908

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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathy J. Kuria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathy Jones Kuria's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFP SECURITIES, LLC

QUINT CAPITAL CORPORATION

SYNAPSE BROKERAGE LLC

RWM CAPITAL, LLC

AVALON INVESTMENT & ADVISORY

AVALON WEALTH MANAGEMENT LLC

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

FIRST SOUTHWEST COMPANY, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2011

Series 66

Date: 10/27/2000

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2000

Series 53

Date: 4/21/2006

Series 24

Date: 12/15/2004

FINRA

Current Firm

REDBRIDGE GLOBAL MARKETS, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REDBRIDGE GLOBAL MARKETS, LLC

TRUST BUT VERIFY

Similar Advisors