Katherine M. Lund
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.
Katherine Mayne Graham Lund, who also goes by Katherine Mayne Graham ^^, Katherine Mayne Graham, Katherine Maynegraham Lund, Katherine M Graham Lund, Katherine Mayne Smith ^^, Katherine Mayne Smith, Kathy Mayne Smith ^^, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2004. Katherine had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - November 20, 2020
VALMARK SECURITIES, INC.
January 7, 2014 - February 25, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
February 27, 2012 - February 25, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
July 12, 2011 - December 5, 2013
VALMARK SECURITIES, INC.
December 10, 2007 - February 27, 2012
CLIFTON GUNDERSON WEALTH ADVISORS
December 7, 2007 - June 28, 2011
CG BROKERAGE L.L.C.
October 5, 2006 - November 26, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
December 1, 2004 - January 20, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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