KS
Katharine L. Schupp
FRED ALGER & COMPANY
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 4589756
KS
Professional summary
Katharine Louise Schupp, who also goes by Katharine Louise Stafford, Katherine Stafford, is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.
Katharine is registered as a RR (Registered Representative) and started their career in finance in 2003. Katharine has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katharine Louise Stafford | Katherine Stafford
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.
CRS (Client Relationship Summary) - BD
Click below to view Katharine Louise Schupp'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®
NoneExperience
Current
June 3, 2019 - Present
FRED ALGER & COMPANY, LLC
Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004BD
CRD#: 5300
NEW YORK, NY
Past
September 29, 2003 - June 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/7/2019)
RR
Alaska(6/7/2019)
RR
Arizona(6/13/2019)
RR
Arkansas(6/7/2019)
RR
California(6/7/2019)
RR
Colorado(6/3/2019)
RR
Connecticut(6/4/2019)
RR
Delaware(6/7/2019)
RR
District of Columbia(6/3/2019)
RR
Florida(6/3/2019)
RR
Georgia(6/7/2019)
RR
Hawaii(6/7/2019)
RR
Idaho(6/3/2019)
RR
Illinois(6/7/2019)
RR
Indiana(6/7/2019)
RR
Iowa(6/7/2019)
RR
Kansas(6/7/2019)
RR
Kentucky(6/7/2019)
RR
Louisiana(6/3/2019)
RR
Maine(6/4/2019)
RR
Maryland(6/3/2019)
RR
Massachusetts(6/7/2019)
RR
Michigan(6/7/2019)
RR
Minnesota(6/7/2019)
RR
Mississippi(6/7/2019)
RR
Missouri(6/7/2019)
RR
Montana(6/7/2019)
RR
Nebraska(6/7/2019)
RR
Nevada(6/7/2019)
RR
New Hampshire(6/7/2019)
RR
New Jersey(6/7/2019)
RR
New Mexico(6/7/2019)
RR
New York(6/7/2019)
RR
North Carolina(6/7/2019)
RR
North Dakota(6/7/2019)
RR
Ohio(6/3/2019)
RR
Oklahoma(6/7/2019)
RR
Oregon(6/7/2019)
RR
Pennsylvania(6/7/2019)
RR
Puerto Rico(6/3/2019)
RR
Rhode Island(6/7/2019)
RR
South Carolina(6/7/2019)
RR
South Dakota(6/7/2019)
RR
Tennessee(6/7/2019)
RR
Texas(6/7/2019)
RR
Utah(6/7/2019)
RR
Vermont(6/7/2019)
RR
Virginia(6/7/2019)
RR
Washington(6/7/2019)
RR
West Virginia(6/7/2019)
RR
Wisconsin(6/7/2019)
RR
Wyoming(6/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FA
FRED ALGER & COMPANY, LLC
FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Pearl Street 27th Floor, New York, NY, 10004
Mailing Address
100 Pearl Street 27th Floor, New York, NY, 10004
Phone number
(212) 806-8800
Established
Delaware since 10/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil 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.
