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KL

Kathryn E. Lawlor

MOUNTAINSIDE SECURITIES LLC
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 4715219
KL

Professional summary

Kathryn Elizabeth Lawlor, who also goes by Kathryn Elizabeth Cheeseman, Katie Cheeseman, is a registered financial professional currently at MOUNTAINSIDE SECURITIES LLC located in Summit, New Jersey.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2003. Kathryn has worked at 5 firms and has passed the Series 52TO, SIE, Series 7, Series 25 and Series 14A exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn Elizabeth Cheeseman | Katie Cheeseman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Elizabeth Lawlor's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 23, 2020 - Present

MOUNTAINSIDE SECURITIES LLC

Office #1: 450 Springfield Avenue Suite 201, Summit, NJ 07901
BD
CRD#: 297949
Summit, NJ
Past

July 21, 2016 - July 25, 2018

W. H. MELL ASSOCIATES, INC.

BD
CRD#: 23635
SUMMIT, NJ
Past

November 5, 2010 - June 30, 2016

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

November 16, 2005 - September 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 30, 2003 - August 18, 2005

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 3/2/2004
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 14A
Date: 5/26/2004
Compliance Official Specialist Exam
SRO Registrations
RR
FINRA

Current Firm

MS
MOUNTAINSIDE SECURITIES LLC
MOUNTAINSIDE SECURITIES LLC

CRD#: 297949 / SEC#: , 8-70157

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
450 Springfield Avenue, Suite 201, Summit, NJ 07901
Mailing Address
450 Springfield Avenue, Suite 201, Summit, NJ 07901
Phone number
(908) 277-2500
Established
Delaware since 06/07/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POSNER, RYAN KEITHMANAGING MEMBER1731934
BEATON, DANIEL STEWARTFINANCIAL AND OPERATIONS PRINCIPAL4240769
BROWN, ELIZABETH PARKECHIEF OPERATING OFFICER1850514
CORNELL, MICHAEL HENDERSONCHIEF COMPLIANCE OFFICER2740653

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.

Company Information

MOUNTAINSIDE SECURITIES LLC

CRD#: 297949Summit, NJ 07901

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