Catherine N. King
Professional summary
Catherine Nadine King, who also goes by Catherine Nadine Heiss, is a registered financial professional currently at OAK TREE SECURITIES, INC. located in Brentwood, California.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2004. Catherine has worked at 3 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Nadine King's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2020 - Present
OAK TREE SECURITIES, INC.
January 31, 2012 - June 9, 2020
RANCE KING SECURITIES CORP.
February 2, 2005 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
November 5, 2004 - February 1, 2005
RANCE KING SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2020)
(6/16/2020)
(6/16/2020)
(6/16/2020)
Exams
FINRA
Current Firm
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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