Katrina Semmes
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.
Katrina Semmes, who also goes by Katrina Rosseini, was a registered financial professional .
Katrina is a previously registered financial professional and started their career in finance in 2005. Katrina had worked at 4 firms and has passed the Series 66 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
April 2, 2013 - February 21, 2014
BERKELEY INVESTMENT ADVISORS
June 1, 2009 - April 11, 2011
MORGAN STANLEY
June 1, 2009 - April 11, 2011
MORGAN STANLEY
April 17, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 21, 2005 - April 29, 2008
UBS FINANCIAL SERVICES INC.
September 28, 2005 - April 29, 2008
UBS FINANCIAL SERVICES INC.
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
Current Firm
BERKELEY INVESTMENT ADVISORS
CRD#: 121223 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 47 |
| AUM (Assets Under Management) | $ 18,714,547 |
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.
