Katherine I. Dorsey
Professional summary
Katherine Irene Dorsey, who also goes by Katherine Irene Galligan, is a registered financial professional currently at STONEPEAK SECURITIES LLC located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2010. Katherine has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Irene Dorsey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2024 - Present
STONEPEAK SECURITIES LLC
Office #1: 550 W. 34th St 48th Floor, New York, NY 10001April 1, 2017 - October 17, 2023
MUFG SECURITIES AMERICAS INC.
October 25, 2013 - April 1, 2017
MUFG AMERICAS CORPORATE ADVISORY, INC.
September 27, 2010 - September 17, 2013
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/9/2024)
Exams
Series 7TO
Date: 3/9/2024
General Securities Representative ExaminationFINRA
Current Firm
STONEPEAK SECURITIES LLC
CRD#: 316392 / SEC#: , 8-70803
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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