Cathleen R. King
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.
Cathleen Rae King, who also goes by Cathleen King, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 2008. Cathleen had worked at 2 firms and has passed the Series 63, Series 22, SIE, Series 62, Series 86, Series 87 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
December 6, 2017 - February 15, 2018
INL SECURITIES, LLC
September 9, 2008 - March 6, 2013
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 62
Date: 12/6/2017
Corporate Securities Limited Representative ExaminationCurrent Firm
INL SECURITIES, LLC
CRD#: 268820 / SEC#: , 8-69632
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIC VENTURES, L.P. | MEMBER | |
| CARLSEN, PETER SCOTT | ACO, EXEC VP | |
| FRERICHS, WILLIAM TODD | CCO, FINOP | 6138812 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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