Katrina N. Lob
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 Nicole Lob, who also goes by Katrina Nicole Peterson, was a registered financial professional .
Katrina is a previously registered financial professional and started their career in finance in 2010. Katrina had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
August 23, 2019 - June 17, 2020
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
August 24, 2018 - August 5, 2019
AE WEALTH MANAGEMENT, LLC
August 8, 2017 - May 9, 2018
PARK AVENUE SECURITIES LLC
February 20, 2014 - June 16, 2017
SECURITIES AMERICA, INC.
January 1, 2010 - November 9, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
CRD#: 144069 / SEC#: 801-67988
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
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
CRD#: 144069 / SEC#: 801-67988
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 807 |
| AUM (Assets Under Management) | $ 227,563,327 |
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.
