Kathryn K. Casey
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 Kohler Casey, who also goes by Katie Casey, Kathryn Ann Kohler, Kathryn Kohler, Katie Kohler, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2004. Kathryn had worked at 4 firms and has passed the Series 63, Series 7, Series 86 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2020 - September 30, 2022
ZEKE CAPITAL ADVISORS, LLC
July 7, 2011 - May 8, 2012
FORESIDE FUND SERVICES, LLC
September 23, 2005 - May 9, 2008
COHEN & COMPANY SECURITIES, LLC
November 4, 2004 - September 16, 2005
CITIGROUP GLOBAL MARKETS 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
ZEKE CAPITAL ADVISORS, LLC
CRD#: 146607 / SEC#: 801-69179
Contact information
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 5,559,112,562 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2023 | ||
| 02/28/2022 |
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.
