Katherine D. Cabrales
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.
Katherine Del Rosario Cabrales, who also goes by Katherine Del R Roman, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2000. Katherine had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2011 - August 30, 2013
LEVELX CAPITAL LLC
December 11, 2009 - August 9, 2010
CHASE INVESTMENT SERVICES CORP.
December 4, 2009 - August 9, 2010
CHASE INVESTMENT SERVICES CORP.
January 17, 2007 - November 6, 2008
EQUITABLE ADVISORS, LLC
November 17, 2006 - November 6, 2008
EQUITABLE ADVISORS, LLC
September 3, 2002 - May 28, 2004
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
September 18, 2000 - November 22, 2000
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
LEVELX CAPITAL LLC
CRD#: 117028 / SEC#: , 8-53580
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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