Kathleen M. Baltra
Professional summary
Kathleen Marie Baltra, who also goes by Kathleen Baltra Mrs, Kathleen M Bennis, Kathleen Marie Bennis, is a registered financial advisor currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kathleen has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Baltra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Marie Baltra's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2018 - Present
BANCROFT CAPITAL, LLC
Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 501 Office Center Drive Suite 130, Fort Washington, PA 19034June 6, 2018 - Present
BANCROFT CAPITAL, LLC
Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 501 Office Center Drive Suite 130, Fort Washington, PA 19034November 9, 2016 - June 1, 2018
CM ADVISORY, LLC
June 18, 2014 - June 1, 2018
CFG CAPITAL MARKETS, LLC
June 30, 2008 - June 13, 2014
BOENNING & SCATTERGOOD, INC.
June 23, 2008 - June 13, 2014
BOENNING & SCATTERGOOD, INC.
January 9, 2007 - June 25, 2008
FERRIS, BAKER WATTS, LLC
May 3, 2006 - June 25, 2008
FERRIS, BAKER WATTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/6/2018)
(10/29/2019)
(10/29/2019)
(6/14/2018)
(8/21/2019)
(6/6/2018)
(12/4/2018)
(10/29/2019)
(10/29/2019)
(4/15/2020)
(6/6/2018)
(10/7/2019)
(10/29/2019)
(3/2/2022)
(6/6/2018)
(6/6/2018)
(10/29/2019)
(6/26/2018)
(6/26/2020)
(12/4/2018)
Exams
Series 52TO
Date: 7/29/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
BANCROFT CAPITAL, LLC
CRD#: 290665 / SEC#: , 8-70035
Contact information
FINRA licenses (34 States and Territories)
Red Flags
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