Kathleen M. Weckler
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.
Kathleen Marie Weckler, CFP®, who also goes by Katie Marie Weckler, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2003. Kathleen had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
October 12, 2015 - September 30, 2016
RACE ROCK CAPITAL LLC
September 28, 2010 - August 24, 2015
F-SQUARED INVESTMENTS, INC
July 2, 2007 - October 16, 2008
STRATEGIC ADVISERS LLC
March 22, 2005 - October 16, 2008
FIDELITY BROKERAGE SERVICES LLC
August 4, 2003 - March 2, 2005
COMERICA SECURITIES
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
RACE ROCK CAPITAL LLC
CRD#: 153363 / SEC#: , 8-68528
Contact information
FINRA licenses (9 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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