Kate E. Kennedy
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.
Kate E Kennedy, who also goes by Kate Elizabeth Kennedy, Kate E Rinaldi, Kate Elizabeth Rinaldi, was a registered financial professional .
Kate is a previously registered financial professional and started their career in finance in 2006. Kate had worked at 5 firms and has passed the Series 66, Series 99TO, 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
July 30, 2020 - August 10, 2022
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
July 29, 2019 - July 22, 2020
UBS SECURITIES LLC
July 29, 2010 - August 16, 2012
MORGAN STANLEY
June 1, 2009 - August 16, 2012
MORGAN STANLEY
May 11, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 14, 2006 - May 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 2006 - May 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 99TO
Date: 7/29/2019
Operations Professional ExaminationCurrent Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
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.
