Kathleen M. Mcgrath
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 Mcgrath was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2005. Kathleen had worked at 5 firms and has passed the Series 66, SIE, Series 87, Series 86 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
March 4, 2013 - July 20, 2015
WALLACHBETH CAPITAL LLC
July 9, 2012 - March 1, 2013
LEERINK PARTNERS LLC
July 30, 2010 - January 25, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 25, 2005 - July 6, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 25, 2005 - July 6, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 13, 2005 - July 25, 2005
STIFEL INDEPENDENT ADVISORS, LLC
February 7, 2005 - July 25, 2005
STIFEL INDEPENDENT ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
