Katherine C. Pilcher Ciafone
Professional summary
Katherine Cely Pilcher Ciafone, who also goes by Kate Cely Pilcher, Katherine Cely Pilcher, Kate Pilcher Ciafone, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2005. Katherine has worked at 3 firms and has passed the Series 66, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Cely Pilcher Ciafone's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2007 - Present
MOELIS & COMPANY LLC
Office #1: 399 Park Avenue 4th Floor, New York, NY 10022September 14, 2007 - December 19, 2007
MERCANTI SECURITIES, LLC
August 23, 2005 - July 20, 2007
UBS SECURITIES 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
(3/9/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
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.
