Kate B. Watson
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.
Kate Barbara Watson was a registered financial professional .
Kate is a previously registered financial professional and started their career in finance in 2009. Kate had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - June 6, 2013
LAKE STREET ADVISORS, LLC
February 22, 2010 - February 8, 2012
BALLENTINE PARTNERS
July 10, 2009 - February 23, 2010
BALLENTINE FINN & CO INC
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
LAKE STREET ADVISORS, LLC
CRD#: 125471 / SEC#: 801-78869
Contact information
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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