Kathleen C. Sanborn

OTR GLOBAL LLC

El Granada, CA

Some features on this profile are disabled

CRD#: 4280255

Professional summary

Kathleen Courtenay Sanborn is a registered financial advisor currently at OTR GLOBAL LLC located in El Granada, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kathleen has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Kathleen Courtenay Sanborn'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 25, 2003 - Present

OTR GLOBAL LLC

RIA

CRD#: 123809

El Granada, CA

Past

January 15, 2009 - May 12, 2023

OTR GLOBAL TRADING LLC

CRD#: 138116

San Rafael, CA

Past

December 14, 2000 - December 31, 2008

OTA LLC

CRD#: 25816

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/25/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2001

General Securities Principal Examination

Current Firm

OTR GLOBAL LLC

OFF THE RECORD RESEARCH LLC | OTR GLOBAL LLC

CRD#: 123809 / SEC#:

California

Registered Investment Advisory firm - (5/6/2003 Approved)

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

One Manhattanville Road Suite 105, Purchase, NY 10577

Mailing Address

Phone number

(914) 908-3994

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen C. Sanborn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Courtenay Sanborn's CRS (Customer Relationship Summary).

Certified licenses

Experience

OTR GLOBAL LLC

OTR GLOBAL TRADING LLC

OTA LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2003

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2000

Series 24

Date: 3/14/2001

Current Firm

OTR GLOBAL LLC

Contact information

Documents

Red Flags

Company Information

OTR GLOBAL LLC

TRUST BUT VERIFY

Similar Advisors