Katalin O. Gingold

PENSERRA GLOBAL INVESTORS LLC

Orinda, CA 94563

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CRD#: 4352639

Professional summary

Katalin Osvath Gingold, who also goes by Katalin Osvath, is a registered financial advisor currently at PENSERRA GLOBAL INVESTORS LLC located in Orinda, California.

Katalin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Katalin has worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katalin Osvath

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 Katalin Osvath Gingold'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

November 17, 2021 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 174309

Orinda, CA

Past

October 1, 2001 - May 9, 2003

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

Past

February 20, 2001 - July 31, 2001

CA IB SECURITIES (NEW YORK) INC.

CRD#: 14851

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(11/17/2021)

IAR

New York
(11/17/2021)

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

Series 63

Date: 2/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 1/7/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/17/2001

General Securities Representative Examination

Current Firm

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,036,000

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.

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Katalin O. Gingold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katalin Osvath Gingold's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA GLOBAL INVESTORS LLC

UNICREDIT CAPITAL MARKETS LLC

CA IB SECURITIES (NEW YORK) INC.

Primary Firm SEC Registration

PENSERRA GLOBAL INVESTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/2001

Series 55

Date: 1/7/2003

Series 7

Date: 2/17/2001

Current Firm

PENSERRA GLOBAL INVESTORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA GLOBAL INVESTORS LLC

TRUST BUT VERIFY

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