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KG

Katherine C. Galway

S.L. REED & COMPANY
Los Angeles, CA 90025-3346
Some features on this profile are disabled
CRD#: 4983366
KG

Professional summary

Katherine Claudia Galway, who also goes by Katarzyna Claudia Galway, Katarzyna Claudia Wieczorek, Katarzyna Wieczorek, Katherine Claudia Wieczorek, is a registered financial professional currently at S.L. REED & COMPANY located in Los Angeles, California.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2005. Katherine has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katarzyna Claudia Galway | Katarzyna Claudia Wieczorek | Katarzyna Wieczorek | Katherine Claudia Wieczorek

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katherine Claudia Galway's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 28, 2012 - Present

S.L. REED & COMPANY

Office #1: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346Office #2: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
BD
CRD#: 40744
Los Angeles, CA
Past

August 27, 2010 - March 7, 2012

DFA SECURITIES LLC

BD
CRD#: 10292
SANTA MONICA, CA
Past

August 4, 2009 - July 9, 2010

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
SAN FRANCISCO, CA
Past

August 4, 2009 - July 9, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
SAN FRANCISCO, CA
Past

May 16, 2006 - August 26, 2008

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
SAN FRANCISCO, CA
Past

May 16, 2006 - August 26, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA
Past

December 8, 2005 - May 12, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WALNUT CREEK, CA
Past

September 1, 2005 - May 12, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WALNUT CREEK, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/28/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SR
S.L. REED & COMPANY
S. L. REED & COMPANY | S.L. REED & COMPANY

CRD#: 40744 / SEC#: , 8-49178

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
Mailing Address
11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
Phone number
(310) 893-3030
Established
California since 01/19/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE WINDWARD CAPITAL GROUP, INC.SOLE SHAREHOLDER
BRANT, DAVID ROBERTFINOPS OFFICER2718478
JOHNSON, JEREMY RONALDDIRECTOR OF COMPLIANCE2205695
RISSER, SUZANNE LOUISECCO1303694
ROBILLARD, JOSEPH COLINCEO & PRESIDENT5865733

Disclosures

Regulatory Event1

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.

Company Information

S.L. REED & COMPANY

CRD#: 40744Los Angeles, CA 90025-3346

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