Kathryn A. Winter
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.
Kathryn Ann Winter, who also goes by Kathryn Ann Geppert, Kathryn Ann Timmerberg, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2002. Kathryn had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
January 6, 2016 - February 17, 2016
OAKBRIDGE FINANCIAL SERVICES
May 22, 2012 - September 19, 2012
OAKBRIDGE FINANCIAL SERVICES
May 22, 2012 - February 17, 2016
PRIVATE LABEL MONEY MANAGEMENT, INC.
April 2, 2012 - November 13, 2015
OAKBRIDGE FINANCIAL SERVICES
February 4, 2011 - September 1, 2011
OAKWOOD CAPITAL SECURITIES, INC.
July 5, 2005 - February 14, 2011
MOLONEY SECURITIES CO., INC.
February 25, 2005 - February 14, 2011
MOLONEY SECURITIES CO., INC.
June 10, 2002 - March 9, 2005
A. G. EDWARDS & SONS, INC.
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
Current Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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