Kathleen A. Lange
Professional summary
Kathleen Ash Lange is a registered financial professional currently at QUATTRO M SECURITIES INC. located in New York, New York.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2004. Kathleen has worked at 2 firms and has passed the SIE, Series 99TO and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ash Lange's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2002 - Present
QUATTRO M SECURITIES INC.
Office #1: 501 Fifth Avenue 15th Floor, New York, NY 10017September 10, 2004 - June 8, 2007
MARA CAPITAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 11/8/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
