Katherine M. Moore
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.
Katherine M Moore, who also goes by Katherine M Barth, Katherine Mary Barth, Katy Mary Barth, Katherine Mary Moore, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2009. Katherine had worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2022 - December 31, 2023
TORTOISEECOFIN SECURITIES, LLC
April 29, 2020 - August 24, 2021
TORTOISEECOFIN SECURITIES, LLC
July 1, 2009 - May 30, 2018
TRADEBOT SYSTEMS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
TORTOISEECOFIN SECURITIES, LLC
CRD#: 285411 / SEC#: , 8-69849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORTOISEECOFIN BORROWER LLC (FORMERLY TORTOISE BORROWER LLC) | OWNER | |
| BEHRENS, BRENT WAYNE | CFO | |
| BIRZER, HAROLD KEVIN | DIRECTOR | 1410255 |
| BONO, DIANE MARIE | DIRECTOR | 5157289 |
| ELLIOTT, KATHERINE ANN | CHIEF COMPLIANCE OFFICER/PRESIDENT | 5385921 |
| HENSON, GARY PAUL | DIRECTOR | 2130871 |
| JOHNSTON, MICHELLE ROSS | DIRECTOR | 4131976 |
| MCKEIGUE, MICHAEL SULLIVAN | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2857839 |
Red Flags
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